 This
guide is the most comprehensive resource available regarding the
investment services programs offered to financial institutions by
third-party marketing companies and brokerage firms.
Since its first
publication in 1988, the Third-Party guide has provided users
with detailed information on all the major third-party companies
which provide investment services to financial institutions.
The 2007 edition includes 34 companies and provides the following
information:
- A narrative which
describes the company, its operating structure, services and claims
to fame
- Contact information
- Key executives
- Corporate data
- Number of employees
and sales reps
- Types of training
services provided
- Client base by
size, type of institution, type of program, and state
- Point of sales
marketing services provided
- Types of investment
services offered
- Products offered
and sales volume
- Payout data
- Operations, clearing,
systems and software
Benefits of the Bankers'
Guide are as follows:
- Provides important
regulatory due-diligence documentation
- Increases your
knowledge of the firms that are engaged in the bank securities
distribution business.
- Saves valuable
time and effort by focusing on the companies that are capable
of meeting your goals and objectives.
- Compares the features
& benefits of the programs and products that can be the most
effective.
- Arms you with
important company information and comparisons and helps you conduct
more productive meetings with the firms you choose to contact.
- Helps you negotiate
from a position of strength and avoid a potentially costly mistake.
- Reduces the time
required to make sound and informed decisions.
- Provides access
to comprehensive and current information needed to accomplish
your objectives.
The companies in
the 2007 edition of the Guide are:
- Century Securities
Associates
- Cross Marketing
- CUSO Financial
Services, L.P.
- DFC Group
- Eagle One Investments,
LLC
- Essex National Securities
- Financial Network
Investment Corp.
- Fintegra Financial
Solutions
- Fixed Income Securities
- Great Amercian
Advisors, Inc.
- IBA Securities
- Independent Financial
Marketing Group
- Infinex Financial
Group
- INVEST Financial
Corporation
- Investment Centers
of America
- Investment Professionals,
Inc.
- Lincoln Financial
Distributors
- LPL Financial
Services
- National Financial
- Nationwide Financial
Distributors Agency
- Pershing
- PFIC Corporation
- PLANCO/ The Hartford
- PRIMEVEST Financial
Services
- Raymond James
Financial Services
- SII Investments
- Sorrento Pacific Financial
- Spectrum Investment
Center, Inc.
- Sterne Agee Financial
Services
- Talbot Financial
Services
- UMB Scout Brokerage
Services, Inc.
- UVEST Investment
Services
- W
& S Financial Group
- XCU Capital Corporation
In addition the Guide
includes a detailed "Regulatory & Legal Overview"
by Ronald Glancz and Katrina Martinez, partners in the Washington,
D.C. firm of Venable, LLP. This chapter includes a review of:
- History of Bank Brokerage Activities
- Types of Brokerage Activities
- Proposed Regulation R
- Third-Party Brokerage
27th Edition, 2007,
327 pages
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Guide to Third-Party Retail Investment Programs |
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