Investment Program Management Tag

Comparing Managed and Dual Employee Programs
Comparing Managed and Dual Employee Programs

When a bank or credit union chooses to provide retail investment services via a third-party broker-dealer (e.g., LPL Financial, Raymond James, CUNA, etc.), they must decide the type of networking arrangement. This arrangement consists of two main models: managed program and dual employee program. This article provides an overview of these two structures, the advantages […]

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Best Practices in Working With Your Third-Party Broker-Dealer Webinar Recap
Best Practices in Working With Your Third-Party Broker-Dealer Webinar Recap

We recently hosted a webinar titled: Best Practices in Working With Your Third-Party Broker-Dealer. This webinar explored how bank and credit union investment services programs can get the most out of their third-party broker-dealer partnership. Terrapin Technologies President, Kristefor Lysne, moderated the discussion and was joined by: Brian Lauer, Partner at Messick Lauer & Smith […]

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Third-Party Broker-Dealers Explained
Third-Party Broker-Dealers Explained

The Third-Party Broker-Dealer Model A growing number of banks and credit unions are partnering with third-party broker-dealers (also known as third-party marketers) such as LPL Financial Institution Services and Raymond James Financial Institutions Division. Industry consulting group Kehrer Bielan Research and Consulting estimate that over 2,900 financial institutions are selling investment services. Their research suggests that 98.6% offer investment […]

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The Advantages of Financial Planning for Investment Firms
The Advantages of Financial Planning for Investment Firms

Financial Planning Represents an Increasingly Important Role Research conducted by Financial Planning shows that in 2017, fee-based revenue overtook commission-based revenue for the first time. There is a myriad of factors driving this change, including industry regulation, the stability of a fee-based revenue model, and investors’ desire for holistic advice. As investment firms embrace a […]

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How to Leverage Revenue Tracking Data to Drive Growth
How to Leverage Revenue Tracking Data to Drive Growth

Effective Revenue Tracking Revenue tracking and reporting tools help monitor and measure the performance of the entire sales organization, from lead to booked revenue. Investment services firms can leverage revenue tracking data to optimize business strategy and drive growth. An effective revenue tracking system delivers useful data to measure advisor performance, track branch referrals, and […]

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