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Brazos Capital Management
Brazos Mutual Funds has four separate portfolios: Micro Cap, Small Cap, Mid Cap, and Growth. We provide maximum capital appreciation, with reasonable risk.
Phone 214-365-5247
Email ahook@brazoscapital.com
Website www.brazosfunds.com
BrokersXpress
BrokersXpress is a Broker/Dealer focused on servicing registered representatives, financial planners, and registered investment advisors.
Phone 888-280-7030 Email info@brokersxpress.com
Website www.brokersxpress.com
DBSI Securities Corporation
DBSI Securities Corporation assists the DBSI Group of Companies and its affiliates in marketing numerous private offerings in real estate.
Phone 800-678-9110
Email info@dbsigroup.com
Website www.dbsisecurities.com
Genworth Financial Investment Services, Inc.
At Genworth Financial Investment Services, our mission is to be the Wealth Management Partner of choice for Independent Financial Professionals.Phone 888-528-2987
Email gfscinformation@genworth.com
Website www.genworthfinancialsecurities.com
Brazos Capital Management
Brazos Mutual Funds has four separate portfolios: Micro Cap, Small Cap, Mid Cap, and Growth. We provide maximum capital appreciation, with reasonable risk.
Phone 214-365-5247
Email ahook@brazoscapital.com
Website www.brazosfunds.com
BrokersXpress
BrokersXpress is a Broker/Dealer focused on servicing registered representatives, financial planners, and registered investment advisors.
Phone 888-280-7030
Email info@brokersxpress.com
Website www.brokersxpress.com
First Clearing
Correspondents Services
We are focused on helping you run, grow and protect your business with dedicated recruiting, superior technology and unparalleled products.
Phone 1-888-fcc-clear
Email dwilliams@firstclearing.com
Website www.firstclearing.com
First Southwest Company Correspondent Clearing Services
We provide fully disclosed clearing services to NASD member firms for trade execution, clearing, and back office services.
Phone 214-953-4124
Email jmuschalek@firstsw.com
Website www.firstswclearing.com
NYFIX Securities
Offers the clearing and settlement services institutional agency correspondents need to complete trades at highly competitive rates.
Phone 646-525-3356
Email jeffrey.feist@nyfix.com
Website www.nyfix.com
Mesirow Financial B/D and IA
More than quality clearing and execution, we provide customized solutions in data management, products and services to address your needs.Phone 888-353-7788
Email BDandIAServices@mesirowfinancial.com
Website www.mesirowfinancial.com
National Financial
National Financial, a Fidelity Investments company, offers Integrated Brokerage Solutions to over 330 clients ranging from retail broker/dealers to institutional investment firms.
Phone 617-392-0086
Website www.nationalfinancial.com
Pershing LLC
A subsidiary of The Bank of New York Mellon Corporation, Pershing is a leading global provider of business solutions to financial organizations and independent registered investment advisors. We are committed to service excellence and to providing dependable operational support, robust trading services, flexible technology, an expansive array of investment solutions, and practice management programs.
Phone 866-269-8293
Email brokerage@pershing.com
Website www.pershing.com
RBC Dain Correspondent Services
More than clearing, we provide the capabilities, training and dedicated support broker dealers need to reach new levels of success.
Phone 612-373-1753
Email shileen.groth@rbc.com
Website www.rbcdain.com
Southwest Securities
We provide cost-effective, execution, clearing, and customized services. We take pride in meeting and exceeding the needs and expectations of our correspondents.
Phone 214-859-1800
Email thamick@swst.com
Website www.swst.com
Wedbush Morgan Securities
Provides custom clearing solutions for trading firms, hedge funds, and traditional retail and institutional broker dealers.
Phone 213-688-8080
Email jeff.martin@wedbush.com
Website www.wedbush.com
Advent
For 25 years, Advent has been providing portfolio and trade order management software and services to the world’s leading financial professionals. Phone 415-645-1000
Web www.advent.com
National Compliance Consultants, Inc.
Providing efficient, experienced, affordable regulatory consulting, filing, and registration services to broker-dealers, investment advisors and attorneys since 1987.
Phone 312-421-5050
Email info@national-compliance.com
Web www.national-compliance.com
Amano Cincinnati Inc.
Provides NASDAQ traders a “true” TCP/IP time stamping device that meets OATS NASD Rule 6953 – synchronization of member clocks.
Phone 800-526-2559 ext 1301
Email jnocella@amano.com
Web www.amano.com
Baker, Donelson, Bearman, Caldwell & Berkowitz, PC
The firm has extensive experience addressing regulatory issues, serving as underwriters’ counsel and advising brokers regarding mergers and acquisitions.
Phone 901-526-2000
Email info@bakerdonelson.com
Web www.bakerdonelson.com
Cicada
Cicada’s technology helps firms manage customer information and conduct customer data due diligence processes required for KYC and AML compliance.
Phone 212-941-7151
Email info@cicadacorp.com
Website www.cicadacorp.com
Connotate Technologies, Inc.
Intelligent agent software offer data mining, monitoring and extraction from web, desktop and enterprise sources for competitive business intelligence, knowledge management and content aggregation.
Phone 732-296-8844 ext. 1078
Email sales@connotate.com
Website www.connotate.com
Erado
Provides a complete line of on-demand message compliance, supervisory, discovery, and security solutions for broker dealers and RIA’s
Phone 425-277-8266 ext 501
Email craig@erado.com
Web www.erado.com
Fetter Logic, Inc.
Provides Quadron-Enterprise-wide Data Management Solutions, Compliance, Commissions and Ad Hoc Reporting Tools for front, middle, and back offices.
Phone 1-800-687-4555
Email sales@fetterlogic.com
Web www.fetterlogic.com
Fire Solutions
Securities exam prep — Firm element/insurance CE – Annual compliance meetings/questionnaires -
Registration tracking -Gift & entertainment tracking
Phone 415-869-9051
Email mkalat@firesolutions.com
Website www.firesolutions.com
FrontLine Compliance, LLC
Unique and effective customized consulting services including policies/procedures, regulatory compliance support, registrations, forensic testing, AML, and Annual Reviews.
Phone 703-518-8860
Email info@frontlinecompliance.com
Website www.frontlinecompliance.com
Insurance Marketplace Standards Association
IMSA is the premier standards-setting organization for the life insurance marketplace. The IMSA seal is a guidepost of excellence for consumers.
Phone 240-744-3030
Email contact@imsaethics.org
Website www.imsaethics.org
Lighthouse Global Technologies
Lighthouse Global Technologies offers a superior electronic communications archiving product suite for all facets email/IM archiving, e.g. sox, SEC, NASD
Phone 800-930-4079
Email susana.cumplido@lighthousegt.com
Website www.lighthousegt.com
144Letters.com
Opinion letter service for restricted stock sales and tradeability opinions.
Phone 800-624-6850
Email brianresq@aol.com
Website www.144letters.com
Market Counsel
A business, regulatory and compliance consulting firm for entrepreneurial investment advisory firms.Phone 201-705-1200
Email info@marketcounsel.com
Website www.marketcounsel.com
National Compliance Services
Offers registration service, on-going compliance assistance, and compliance software solutions to registered investment advisors and broker-dealers.
Phone 561-330-7645
Email info@ncsonline.com
Website www.ncsonline.com
National Regulatory Services
Over 20 years of compliance consulting experience, offering Compliance Essentials™, the all-in-one compliance solution for Investment Advisors & broker-Dealers.
Phone 860-435-0200
Email oderose@nrs-inc.com
Website www.nrs-inc.com
Regulatory Compliance
Compliance consultants specializing in broker-dealers and investment advisors. Accounting, auditing, FINOP and FOCUS reporting, firm registration, continuing education, customized manuals.
Phone 603-434-3594
Email sales@regulatorycompliance.com
Website www.regulatorycompliance.com
Regulatory Compliance Specialists
Invest in your success – Choose RCS, CCO, Outsourcing, WSPs, AML, Office Inspections, Supervisory Controls, Contracts & Strategic Initiatives.
Phone 303-464-8007
Email info@regulatorycompliancespecialists.com
Website www.regulatorycompliancespecialist.com
Scivantage
From online trading and event notification management to automated account opening, maintenance and funding, Scivantage is a premier provider of front and middle-office brokerage solutions.
Phone 866-724-8268
Email info@scivantage.com
Website www.scivantage.com
S.D. Daniels & Co., P.C.
Longstanding CPA firm provides expert support to the financial services industry. Services include accounting, B/D startup and support, compliance consulting, and taxes.
Phone 212-751-4422
Email tdaniels@sddco.com
Website www.sddco.com
Seabury & Smith, Inc.
The leading provider of insurance solutions for broker-dealers. Products include: Fidelity Bonds, E&O, D&O, ERISA, and much more.
Phone 1-800-978-6273
insuranceinfo@seaburyandsmith.com www.seaburyandsmith.com
SunGard
SunGard’s automated compliance and supervision solution, Protegent helps investment firms oversee business processes and employee activities.
Phone 800-825-2518
Email getinfo@sungard.com
Website www.sungard.com
TAG
(Transaction auditing group)
Tag is a pioneer and the standard in the field of independent “best execution” trade analysis, regulatory, and customized reporting.
Phone 646-375-1562
Email rporzio@tagaudit.com
Website www.tagaudit.com
Client Wise
An executive coaching and consulting company for financial professionals. Programs focus on improving sales performance and practical management.
Phone 800-732-0876
Email info@clientwise.com
Website www.clientwise.com
Cohen Independent Research group
We are the nation’s leading independent fundamental research firm.
Phone 415-454-6985
Email paul@cohenresearch.com
Website www.cohenresearch.com
DePaul University
CFP Board certified financial planning education program delivered in both a traditional classroom setting and as a live internet class.
Phone 312-362-5321
Email djagonas@depaul.edu
Website www.learning.depaul.edu
Disability Resource Group
DRG is the premier brokerage resource providing individual income, business, retirement and asset protection products for broker-dealers and their representatives..
Phone 800-945-9719 x 301
Website www.drgdi.com
Dowling College
Dowling has registered with the CFP board to provide a new financial planning certificate program.
Phone 631-244-3190
Email professionaled@dowling.edu
Website www.dowling.edu
Fire Solutions
Products and services: Securities Exam Prep-Firm Element / Insurance CE-Annual Compliance Marketing / Questionnaire-Registration Traveling-Gift and Entertainment Traveling.
Phone 866-275-3473
Email mkalat@firesolutions.com
Website www.firesolutions.com
Florida International University, Executive+Professional Education
Offers the certified Treasury Professional certification, using AFP materials covering everything needed to pass the CP exam.
Phone 305-348-4217
Email epe@fiu.edu
Website http://epe.fiu.edu
JeffMcTague.com
The most valuable mutual fund site on the web for serious investment professionals.
Phone 540-456-8017
Email jeff@jeffmctague.com
Website www.jeffmctague.com
Keir Educational Resources
Study materials for series 6, 7, 63, 65, 66, CFP®, CUL/CHFC and CFA®. Pass the first time!
Phone 800-795-5347
Email customerservice@keirsuccess.com
Website www.keirsuccess.com
Missouri Southern State University
Planning from MSSU fulfills the education requirement for the CFP®
Phone 417-625-9716
Email rawlins-r@mssu.edu
Website www.mssu.edu
The American College
Is a non-profit institution dedicated to leadership in innovative training and development for financial services professionals.
Phone 888-263-7265
Email studentservices@theamericancollege.edu
Website www.theamericancollege.edu
The Ohio State University
Certified financial planning program. Creative pension benefits seminar – annually in early May.
Phone 614-292-8571
Email askced@ced.osu.edu
Website www.ced.osu.edu
The College for Financial Planning
Provider of financial education in the areas of financial planning, asset management, and retirement planning.
Phone 800-237-9990
Email christopher.allen@cffp.edu
Website www.cffpinfo.com
University of California Davis Ext.
Davis Extension offers a CFP Board-registered Personal Financial Planning certificate program in Sacramento. Seven courses are required.
Phone 530-757-8627
Email knorberg@ucdavis.edu
Website http://extension.ucdavis.edu/index.asp
University of California – Irvine Ext.
Master the body of knowledge required for financial planners and prepare for CFP certification with our fully-online, instructor-led certificate program.
Phone 949-824-2282
Email lmmunoz@uci.edu
Website www.extension.uci.edu
University of Delaware – professional and continuing studies
CFP Board approved financial planning certificate. Complete in 12 months; learn from faculty who are certified professionals in their fields.
Phone 302-831-2746
Email continuing-ed@udel.edu
Website www.pcs.udel.edu/fp
Associated Securities Corp.
Member of NASD/SIPC and Registered Investment Advisor. Associated Securities Corp’s services model centers on elite advisors focused on creating an extraordinary level of success. Associated with the best!
Phone 800-284-2747
Email rthompson@associatedsecurities.com
Website www.joinasc.com
BD Shell Wanted
BD Shell Wanted for immediate purchase. 3-6 month transition with access to principal; preferred terms are negotiable.
Phone 206-201-2427
Email webbrokerdealer@aol.com
Brazos Capital Management
Brazos Mutual Funds has four separate portfolios: Micro Cap, Small Cap, Mid Cap, and Growth. We Provide maximum capital appreciation, with reasonable risk.
Phone 214-365-5247
Email ahook@brazoscapital.com
Website www.brazosfunds.com
Capital Investment Companies
Comprised of Capital Investment Brokerage, Inc. and Capital Investment Group, Inc., registered broker/dealers (Members NASD/SIPC), and their affiliates. We are one of the largest independent financial services and brokerage organizations in the Southeastern United States. The firm offers a wide variety of financial services and offer their services to individuals, corporations, and the CPA and banking community.
Phone 919-831-2370
Website www.cico.us
Investigo
Investigo’s wealth management platform provides a series of solutions including portfolio management, data aggregation, reporting, CRM, regulatory compliance and online document management.
Phone 952-920-1441
Email davidb@investigo.net
Web www.investigo.net
Securities Service Network, Inc.
Ranked by Inc. 500 Magazine as one of the top 50 privately held firms, we are dedicated to personal service.
Phone 800-264-5499
Website www.ssnetwork.com
Ensemble Financial Services
Leading outsourcing company for financial advisors. Financial planning outsourcing, virtual assistants, increase the value of your broker dealer through outsourcing.
Phone 585-419-1010
Email swershing@ensemblefs.com
Website www.ensemblefs.com
First Allied Securities, Inc.
Supports commission and fee-based business and offers Fee-Based Programs, Mutual Funds, Insurance, Variable Annuities, 1031-Exchanges, Managed Futures, REITs, Stock/Bond/Options, Alternative Investments, and late stage private equity deals.
Phone 1-800-499-5489
Email cmyatt@firstallied.com
Website www.firstallied.com
First Midwest Securities, Inc.
One of the last true independent firms. No proprietary ties and products. Responsive compliance dept. – No cost back office – In-house F.I. desk. Clearing through Pershing & Legent.
Phone 800-662-8452
Email tbuffalo@firstmidwestsecurities.com
Website www.firstmidwestsecurities.com
FIS – (Fidelity National Information Services)
FIS provides end-to-end wealth management solutions that enable broker dealers to solidify customer relationships, improve advisor satisfaction and drive profits.
Phone 416-304-6444
Email faye.cameron@fnf.com
Website www.fidelityinfoservices.com
Fortigent LLC
We provide sophisticated wealth management solutions and consulting services to brokers looking to go independent and targeting high net worth clientelle.
Phone 301-816-1202
Email sharon.mcevoy@fortigent.com
Website www.fortigent.com
GunnAllen Financial Inc.
Member NASD/SIPC, is a broker-dealer and an SEC Registered Investment Advisor offering a full service platform from which independent financial consultants can choose from among the finest products, services, and solutions to help them grow their business.
Phone 877-374-6426
Email bfay@gunnallen.com
Website www.gunnallen.com
Harbour Investments
A truly independent broker dealer and RIA, offering comprehensive products and services for registered representatives and investment advisors. Harbour’s personal approach, exceptional service and flexibility makes us truly unique.
Phone 888-855-6960
Email dholmes@harbourinv.com
Website www.harbourinv.com
Horwitz & Associates
The best of two worlds – having independence while being part of a unified relationship.
Phone 888-509-1500
Email jls@horwitzco.com
Website www.horwitzco.com
Insurance Marketplace Standards Association
IMSA is the premier standards-setting organization for the life insurance marketplace. The IMSA seal is a guidepost of excellence for consumers.
Phone 240-744-3030
Email contact@imsaethics.org
Website www.imsaethics.org
Intersecurities, Inc.
ISI is an independent broker dealer where success begins with a bold move. Our support, your business. Strength with Independence.
Phone 877-564-6474
Email isireprelations@aegonusa.com
Website www.intersecurities.com
Invest Financial Corporation
A broker-dealer and registered investment advisor providing access to securities products and investment advisory services through affiliated registered representatives.
Phone 800-245-4732
Email recruiting@investfinancial.com
Website www.investfinancial.com
Investment Centers of America
A broker-dealer and registered investment advisors providing access to securities products and investment advisory services through affiliated registered representatives.
Phone 800-711-7392
Email david.ernst@investmentcenters.com
Website www.joinica.com
Lime Brokerage LLC
Is a technologically advanced brokerage firm that caters to a diverse and sophisticated customer base.
Phone 212-219-6001
Email info@limebrokerage.com
Website www.limebrokerage.com
National Planning Corporation
A broker-dealer and registered investment advisor providing access to securities products and investment advisory services through affiliated registered representatives.
Phone 800-881-7174
Email recruiting@natplan.com
Website www.natplan.com
Orion Advisor Services
Web-based portfolio management tools and a back-office solution managing everything from data reconciliation to printing and mailing statements.
Phone 496-3513 opt. 2
Email sales@orionadvisor.com
Website www.orionadvisor.com
Planmember Securities
#1 BD for fee business (Financial Planning Magazine); turn-key solutions for asset management, marketing programs, technology; rep-friendly.
Phone 800-874-6910 ext. 2209
Email ktwohy@planmember.com
Website www.joinplanmember.com
Raymond James Investment Advisor
We give fee-only advisors complete independence and control without sacrificing vital resources including marketing support, integrated technology, and wealth management products and services.
Phone 866-833-3358
Email iad@raymondjames.com
Website www.rjfsiad.com
Sigma Financial Corporation
Committing to personal service, Sigma Financial partners with Financial Advisors to grow their practices in a professional and ethical manner.
Phone 734-663-1611
Email emillican@bdops.com
Website www.sigmafinancial.com
SII Investments, Inc.
A broker-dealer and registered investments advisor providing access to securities products and investment advisory services through affiliated registered representatives.
Phone 800-426-5975
Email steve.vandomelen@inli.com
Website www.siionline.com
Sloan Securities Corp.
Privately owned investment bank and brokerage firm. We provide high quality execution services and trade in over 40 markets internationally.
Phone 201-592-9900
Email amay@sloansecurities.com
Website www.sloansecurities.com
The Comprehensive Group
Strategic BD/RIA services for elite advisors.
Phone 973-394-0404
Email rich@camasinc.com
www.thecomprehensivegroup.com
United Planners Financial Services of America
We’re a full-service nationwide, independent broker dealer uniquely structured as a Limited Partnership. Offering: profit sharing, RIA flexibility and an outstanding culture.
Phone 800-966-8737
Email sjcuffari@unitedplanners.com
Website www.joinunitedplanners.com
Wedbush Morgan Securities
Provides custom clearing solutions for trading firms, hedge funds, and traditional retails and institutional broker dealers.
Phone 213-688-8000
Email jeff.martin@wedbush.com or sean.thompson@wedbush.com
Website www.wedbush.com
Bondsonline Group
Yield and Income Newsletter surveys strategies and recommendations for investors seeking dividend income and growth.
Phone 800-883-1808
Email bonds@bondsonline.com
Website www.yieldandincome.com
RedChip
Has developed the most comprehensive research and investor relations platform for small-cap companies available in the market today.
Phone 407-644-4256
Email chrystina@redchip.com
Website www.redchip.com
Stockfocus.com
Choose trial subscriptions from over 200 different newsletters. Select by categories such as: Commodities, High-Tech, Fundamentals, etc.
Phone 800-743-9346
Website www.stockfocus.com
Commonwealth Capital Securities
Provide your registered reps diversification with a tangible asset class, potential capital preservation, and competitive income, call us.
Phone 727-938-5933 ext 186
Email dwaldman@ccclease.com
Website www.ccclease.com
Dividend Capital Group
Dividend Capital offers a variety of real estate investment solutions, including REITs, real estate securities and real estate exchange solutions.
Phone 866-324-7348
Email tpellowe@dividendcapital.com
Website www.dividendcapital.com
Dunham & Associates Investment Counsel, Inc.
Dunham & Associates is the adviser and distributor of the Dunham Funds, a proprietary family of performance fee-based public mutual funds.
Phone 858-964-0500
Website www.dunham.com
Lord Abbett
Lord Abbett manages $116 billion in assets, offering a full range of mutual funds, institutional and individually managed accounts.
Phone 201-827-2000
Email clientservices@lordabbett.com
Website www.lordabbett.com
Matthews Asian Funds
No-load fund family that has invested exclusively in Asia since 1994.
Phone 888-289-7988
Email advisorservices@matthewsfunds.com
Website www.matthewsfunds.com
Principal Funds
Phone 800-787-1621 opt.2
Website www.principalfunds.com
Prudent Bear Funds Mutual Funds
Phone 214-696-5424
Email info@prudentbearfunds.com
Website www.prudentbearfunds.com
RedChip
Has developed the most comprehensive research and investor relations platform for small-cap companies available in the market today.
Phone 407-644-4256
Email chrystina@redchip.com
Website www.redchip.com
Seascape Capital Management
All-Cap growth strategy either as an SMA or fund (ticker:SEARX) — Seeks to provide Alpha to your clients.
Phone 603-964-4480
Email mness@seascape-capital.com
Website www.seascape-capital.com
William Blair & Company, LLC.
Since 1935, William Blair & Company has provided a consistent, well defined investment philosophy based on thorough research. We offer flexible investment solutions across all asset classes, ranging from separately managed accounts to mutual funds.
Phone 877-962-5247
Email advisor_support@williamblair.com
Website www.williamblair.com
Disability Resource Group
DRG is the premier brokerage resource providing individual income, business, retirement and asset protection products for broker-dealers and their representatives..
Phone 800-945-9719 x 301
Website www.drgdi.com
Seabury & Smith, Inc.
The leading provider of insurance solutions for broker-dealers. Products include: Fidelity Bonds, E&O, D&O, ERISA, and much more.
Phone 1-800-978-6273
insuranceinfo@seaburyandsmith.com www.seaburyandsmith.com
144Letters.com
Opinion letter service for restricted stock sales and tradeability opinions.
Phone 800-624-6850
Email brianresq@aol.com
Website www.144letters.com
Baker, Donelson, Bearman, Caldwell & Berkowitz, PC
The firm has extensive experience addressing regulatory issues, serving as underwriters’ counsel and advising brokers regarding mergers and acquisitions.
Phone 901-526-2000
Email info@bakerdonelson.com
Web www.bakerdonelson.com
Broker Dealer Exchange, LLC.
A leading intermediary in the buy and sell of Broker Dealers and Books of Business.
Phone 646-722-8690
Email rogan@bdexchange.com
Website www.bdexchange.com
Gusrae, Kaplan, Bruno & Nusbaum PLLC
Litigation, regulatory and employment law counselling for broker-dealers, public companies and securities industry professionals.
Phone 212-269-1400
Email rherskovits@gkblaw.com
Website www.gkblaw.com
James L. Sonneborn, Esq.
We assist brokers when they are moving firms, when they need assistance with customer complaints, and when they need assistance with employment issues.
Phone 315-471-2151
Email jsonneborn@sonneborn.net
Website www.sonneborn.net
Joseph C. Cascarelli
Member of Stark-Stark Securities Group where he concentrates his practice in broker-dealer registration, licensing, supervision, and inspection.
Phone 609-791-7007
Email jcascarelli@stark-stark.com
Website www.stark-stark.com
Patton Boggs LLP
Full-service law firm with core practice areas in public policy, Administrative and Regulatary Law, Litigation, Business and Intellectual Property.
Phone 202-457-6000
Email info_dc@pattonboggs.com
Website www.pattonboggs.com
Sonneborn, Spring & O’Sullivan
We assist brokers when they are moving firms, when they need assistance with customer complaints, and when they need assistance with employment issues
Phone 315-471-2151
Email jsonneborn@sonneborn.net
Website www.sonneborn.net
Baker, Donelson, Bearman, Caldwell & Berkowitz, PC
The firm has extensive experience addressing regulatory issues, serving as underwriters’ counsel and advising brokers regarding mergers and acquisitions.
Phone 901-526-2000
Email info@bakerdonelson.com
Web www.bakerdonelson.com
Broker Dealer Exchange, LLC.
A leading intermediary in the buy and sell of Broker Dealers and Books of Business.
Phone 646-722-8690
Email rogan@bdexchange.com
Website www.bdexchange.com
Cohen Independent Research group
We are the nation’s leading independent fundamental research firm.
Phone 415-454-6985
Email paul@cohenresearch.com
Website www.cohenresearch.com
eMoney Advisor
Is a leading provider of web-enabled wealth and goal planning solutions that gives advisors a competitive edge.
Phone 610-684-4662
Email allysahs@emoneyadvisor.com
Website www.emoneyadvisor.com
Ensemble Financial Services
Leading outsourcing company for financial advisors. Financial planning outsourcing, virtual assistants, increase the value of your broker dealer through outsourcing.
Phone 585-419-1010
Email swershing@ensemblefs.com
Website www.ensemblefs.com
Eze Castle Integration
Is the leading provider of technology and IT services to the investment industry.
Phone 212-954-0600
Email jrich@eci.com
Website www.eci.com
First Southwest Company Correspondent Clearing Services
We provide fully disclosed clearing services to NASD member firms for trade execution, and back office services.
Phone 214-953-4124
Email jmuschalek@firstsw.com
Website www.firstswclearing.com
FIS (Fidelity National Information Services)
Provides end-to-end wealth management solutions that enable broker dealers to solidify customer relationships, improve advisor satisfaction and drive profits.
Phone 416-304-6444
Email faye.cameron@fnf.com
Website www.fnf.com
Fox Point Programs, Inc.
Offers a broker-dealer product with a competitive rate structure, comprehensive policy form, and superior customer service.
Phone 800-499-7242
Email jeremy.theobald@foxpointprg.com
Website www.foxpointprg.com
Global Relay Communications Inc.
Provides message Archiving for Broker-Dealers to securely archive and monitor email, IM and Bloomberg for regulatory compliance, business continuity, ediscovery and audits.
Phone 1-866-484-6630
Email info@globalrelay.net
Website www.globalrelay.com
Insurance Marketplace Standards Association (IMSA)
IMSA is the premier standards-setting organization for the life insurance marketplace. The IMSA seal is a guidepost of excellence for consumers.
Phone 240-744-3030
Email contact@imsaethics.org
Website www.imsaethics.org
Intersecurities, Inc.
ISI is an independent broker dealer where success begins with a bold move. Our support, your business. Strength with Independence.
Phone 877-564-6474
Email isireprelations@aegonusa.com
Website www.intersecurities.com
Jordan & Jordan
Leverages its financial expertise to offer management consulting, technology services, market data services, program management, and search services.
Phone 212-652-4463
Email mcgovern@jandj.com
Website www.jandj.com
Life Options, LLC.
The fastest growing, full service life settlement brokerage firm in the market. We work closely with brokers, advisors and agents in the processing of their life settlement opportunities.
Phone 203-977-0302
Email jim.pugliese@lifeoptionsllc.com
Website www.lifeoptionsllc.com
Life Settlement Solutions, Inc.
Life Settlement Solutions is the premier life settlement provider in the industry, known for its world class compliance practices and customer service. LSS is the founder and presenter of the annual Life Settlement Awareness Month each June.
Phone 858-576-8067
Email info@lifefirms.com
Website www.lss-corp.com
Market Guru Online
Online Service updated daily, giving long, intermediate, and short term trend analysis with support and resistance levels. Free trial.
Phone 386-527-2623
Email comments@marketguruonline.com
Website www.marketguruonline.com
Matrix Capital Group
Provides customized institutional brokerage solutions and fund administration services to investment professionals and the fund community.
Phone 212-652-3290
Email canci@matrixcapitalgroup.com
Website www.matrixcapitalgroup.com
Matrox Graphics, Inc.
Is an industry leader in the manufacture of multi-display graphics solutions for financial, energy, and commodities trading professional.
Phone 514-822-6000 ex 2638
Email graphics@matrox.com
Website www.matrox.com/graphics
Missouri Southern State University Planning from MSSU fulfills the education requirement for the CFP®
Phone 417-625-9716
Email rawlins-r@mssu.edu
Website www.mssu.edu
Murphy Business & Financial Corp
Become a business broker. Full training and backup with high income potential.
Phone 406-256-7470
Email e.grantham@murphybusiness.com
Website www.murphybusiness.com
MyBizOffice, Inc.
Offers independent contractors an executive suite of benefits including an accelerated 401 (k) retirement plan and business expense reimbursement program.
Phone 703-793-6004
Website www.mybizoffice.com
RBC Correspondent Services
More than clearing, we provide the capabilities, training and dedicated support broker dealers need to reach new levels of success.
Phone 612-373-1753
Email shileen.groth@rbcdain.com
Website www.rbc.com
RS Investments
Offers growth, value and core equity strategies as well as subadvised fixed income and international capabilities.
Phone 800-766-FUND
Email funds@rsinvestments.com
Website www.rsinvestments.com
Scivantage
From online trading and event notification management to automated account opening, maintenance and funding, Scivantage is a premier provider of front and middle-office brokerage solutions.
Phone 866-724-8268
Email info@scivantage.com
Website www.scivantage.com
Accela Research
Niels Leppert
Phone 407-897-2121
Albert Villota 860-643-6464
Alternative Recruiting Services
An inexpensive, cost effective, alternative approach to recruiting. Save time and money! Fill your pipeline with qualified leads.
Phone 608-488-3130
Email justinpaulberg@aol.com
ATL Consulting, LLC
Andrew Lepera
Phone 609-921-6676
BD Search
Broker Dealer recruiting, executive search and business consulting.
Phone 888-894-1244
Website www.bd-search.com
Brokerage Consultants Inc.
Tony Pietrzak
Phone 312-460-8222 ext. 104
Cooper Recruiting
Charla Cooper
Phone 415-673-6329
Corporate Search
Over 25 years of experience specializing in the brokerage industry in the Midwest. Currently focusing on the state of Michigan.
Phone 248-644-7730
Email corpsearch@sbcglobal.net
Courtney Raymond Cons.
Courtney Raymond
Phone 713-975-6098
Diamond Consulting
Mindy Diamond
Phone 908-879-1002
George Jones & Associates
Allen Cohen
Phone 212-239-3136
Henschen & Associates
Matching Advisors with suitable Independent Broker/Dealers.
Jon Henschen
Phone 888-820-8107
Intersecurities, Inc.
ISI is an independent broker dealer where success begins with a bold move. Our support, your business. Strength with independence.
Phone 877-564-6474
Email isireprelations@aegonusa.com
Website www.intersecurities.com
Michael Obergfell…732-321-1700
MSI-International
Larry Klos
Phone 469-713-3057
Pro Bank Search
Susan Taylor
Phone 410-987-0090
Richardson Recruiting
Paul Richardson
Phone 561-208-4469
Rowlette Recruiting
Patty Rowlette
Phone 614-799-2311
Select Information Exchange
Over 650,000 registered rep recruiting records available for lease. Fine tune your search using multiple criteria. Same day service. Cleaned quarterly. Providing financial data since 1966.
Phone 888-632-9346
Web www.siestockbroker.com
Self Management Group
Attract, screen, select, and retain top performers through the use of state of the art normative profiling.
Phone 416-746-0444 ext. 245
Email caviles@selfmgmt.com
Website www.selfmgmt.com
Silverman Assoc.
Bernie Silverman
Phone 480-948-4460
The Spaulding Group
The leading provider of investment performance measurement products and services, including consulting GIPS verifications, training, publishing, conferences and forums.
Phone 732-873-5700
Email cspaulding@spauldinggrp.com
Web www.spauldinggrp.com
Terrana Group
Mark Eskridge
Phone 312-655-8380
Treeline, Inc.
A recruiting firm exclusively focused on sales. We bring top sales talent and organizations together to build sales forces.
Phone 781-876-8100
Email sales@treeline-inc.com
Website www.treeline-inc.com
Vousden & Associates
Art Farrar
Phone 212-355-7789
World Bridge Partners
Dave Sanders
Phone 916-803-4000
Murphy Business & Financial Corp
Become a bsuiness broker. Full training and backup with high income potential.
Phone 406-256-7470
Email e.grantham@murphybusiness.com
Website www.murphybusiness.com
Nationwide Financial
Acquiring talent to represent nationwide annuity, life, and 401 K products to investment professionals.
Phone 614-854-8307
Email mossp3@nationwide.com
Website www.nationwidefinancial.com
Bondsonline Group
Yield and Income Newsletter surveys strategies and recommendations for investors seeking dividend income and growth.
Phone 800-883-1808
Email bonds@bondsonline.com
Website www.yieldandincome.com
Waterville Investment Research
Provides fundamental Wall Street investment research for small-cap companies.
Phone 212-828-7373
Email mike@watervilleresearch.com
Website www.watervilleresearch.com
Commonwealth Capital Securities
Provide your registered reps diversification with a tangible asset class, potential preservation, and a competitive income.
Phone 727-938-5933 ext. 186
Email dwaldman@ccclease.com
Website www.ccclease.com
J.D. Power & Associates
Our 2007 Financial Advisor Satisfaction Study examines elements that drive advisor satisfaction and provides actionable data to help attract/retain advisors.
Phone 248-312-4192
Email jim.lohmann@jdpa.com
Website www.jdpower.com/corporate
InfoUSA
InfoUSA is the nation’s leading provider of sales leads, mailing lists, database marketing, email marketing and market research solutions.
Phone 888-608-2877
Email help@infousa.com
Website infoUSA.com/bdj
Salesgenie.com
Grow your sales with Salesgenie.com, the premier source for fresh, accurate sales leads, mailing lists and business profiles.
Phone 866-839-1430
Email spaceadhelp@salesgenie.com
Website salesgenie.com/bdj
Align Communications
Is a global IT solutions company. We help out clients relocate, manage, improve and integrate entire technology infrastructures.
Phone 212-207-2600
Email info@align.com
Website www.align.com
Black Diamond Performance Reporting, LLC
Considering going independent? Our solution provides fully outsourced customized reporting in a dynamic Web-based application for advisors and wealth managers.
Phone 904-241-2444
sales@blackdiamondreporting.com
www.blackdiamondreporting.com
BridgePortfolio.com, Inc.
Back-office outsourcing firm offering private labeled platforms, trading, performance reporting, billing as well as SMA, ETF, and mutual fund wrap model portfolio management.
Phone 312-321-9139
dedstrom@bridgeportfolio.com
Website www.bridgeportfolio.com
Connotate Technologies, Inc.
Intelligent agent software offer data mining, monitoring and extraction from web, desktop and enterprise sources for competitive business intelligence, knowledge management and content aggregation.
Phone 732-296-8844 ext. 1078
Email sales@connotate.com
Website www.connotate.com
Cognizant Technologies Solutions
Is a leading provider of IT services and a member of the NASDAQ 100 Index & S&P 500 Index.
Phone 888-937-3277
Email inquiry@cognizant.com
Website www.cognizant.com
eMoney Advisor
Is a leading provider of web-enabled wealth and goal planning solutions that gives advisors a
competitive edge.
Phone 610-684-4662
Email allysahs@emoneyadvisor.com
Website www.emoneyadvisor.com
Ensemble Financial Services
Leading outsourcing company for financial advisors. Financial planning outsourcing, virtual assistants, increase the value of your broker dealer through outsourcing.
Phone 55-419-1010
Email… swershing@ensemblefs.com
Website www.ensemblefs.com
Eze Castle Integration
Is the leading provider of technology and IT services to the investment industry.
Phone 212-954-0600
Email jrich@eci.com
Website www.eci.com
Fetter Logic, Inc.
Provides Quadron-Enterprise-wide Data Management Solutions, Compliance, Commissions and Ad Hoc Reporting Tools for front, middle, and back offices.
Phone 1-800-687-4555
Email sales@fetterlogic.com
Web www.fetterlogic.com
Flextrade Systems, Inc.
Founded in 1996, Flextrade Systems is the industry’s pioneer of broker-neutral algorithmic trading platforms for equities, FX, options and futures.
Phone 516-627-8993, ext.2
Email sales@flextrade.com
Website www.flextrade.com
Laser App
Provides a current library of industry forms that are automatically populated with client data from most CRM sources.
Phone 800-985-2174
Email sales@laserapp.com
Website www.laserapp.com
Financial Crossing
Provides liability management and solutions, enabling financial professionals to supply clients with objective, actionable advice to optimize liabilities including mortgages and other types of debt.
Phone 650-320-6200
fcinfo@financialcrossing.com
www.financialcrossing.com
FTEN, Inc.
Is an independent non-broker-dealer ASP-based technology company that provides enterprise-wide intraday real-time risk management and low latency black box trading.
Phone 212-808-8440%
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