Jonathan Henschen

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  IBD First Allied Taps TDAI’s Whitworth as Strategist for Business Consulting

  By Joyce Hanson, AdvisorOne  |  April 24, 2013

  The IBD First Allied Securities has hired Richard Whitworth of TDAI's practice management unit to be managing director of its Business Consulting Group.

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  State Securities Regulators to Hike Exam Fees for Series 63, 65 and 66

  By Melanie Waddell, AdvisorOne  |  April 17, 2013

  Despite increased costs of maintaining the exams, NASAA says the exam fees have not increased for the past four years.

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  FINRA Reaches for Feedback on Broker Comp Disclosure Rule

  By Melanie Waddell, AdvisorOne  |  December 10, 2012

  FINRA’s board announced Friday that it would seek comment on its controversial plan to require brokers to disclose their compensation packages to clients.

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  FINRA to Mull Broker Compensation Disclosure Rule

  By Melanie Waddell, AdvisorOne  |  November 29, 2012

  December Board meeting will consider several rule proposals and amendments, chief among them a proposal that would require broker-dealers to disclose compensation packages to customers.

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  Calming Client Stress; Managing Risk With Managed Futures: November Investment Advisor—Slideshow

  By Editorial Staff  |  October 25, 2012

  Believe it or not, good news in the financial industry may be making your clients feel more stressed out.

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  FINRA to Restructure BrokerCheck, Giving Investors More Power

  By Melanie Waddell, AdvisorOne  |  March 2, 2012

  Proposed changes include not only unifying BrokerCheck and the SEC’s IAPD system, but also divulging broker/advisor test scores.

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  Five Most-Read Stories: LPL's IPO, VA Guide, Taxes on Wealthy

  By Editorial Staff  |  November 19, 2010

  AdvisorOne's Most Read Stories for the week of Nov. 13-19, 2010 include the LPL IPO and a new guide to evaluating VAs.

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  Evaluating Broker-Dealer Service

  By Jonathan Henschen  |  November 1, 2010

  It's no secret: One of the main reasons reps leave firms is lousy back room service. Sure, all broker-dealers claim to offer terrific service. However, when...

• LPL Financial's IPO: The Competitive Equation

  By James J. Green, AdvisorOne  |  July 1, 2010

  The parent company of the largest independent broker/dealer, LPL Financial, filed an S-1 statement with the SEC on June 4 to go public via an...

• LPL Financial's IPO: Recruiting Implications

  By Marlene Y. Satter, AdvisorOne  |  June 7, 2010

  While LPL Financial has been grooming itself to go public for a long time, the move announced June 4, is bound to bring changes, both to its advisors and to its recruiting efforts. What might those be?