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Failure to communicate

Advisors are dissatisfied with the material their firms send out and management's receptiveness to advisors' feedback

Firms succeeding in HNW efforts

Advisors have long been demanding specialized services for HNW clients; it appears firms are listening

Firms need to step up on pay

Although advisors have built up their assets under management over the past year, their pay is either going down or stagnant. Advisors also are dissatisfied…

Big shift in ratings for four dealers

Two firms saw their ratings rise significantly — while two firms saw their scores decrease significantly — in several categories

Dealer reps report strong growth

Average AUM and productivity are sky-high this year, and it's the channel's top producers leading the way. Not only have their books of business and…

2013 Brokerage Report Card: RBC scores increase in 36 of 38 categories

2013 Brokerage Report Card: RBC scores increase in 36 of 38 categories

Mike Scott of DS explains the strategies that enabled RBC to remain top-ranked among the bank-owned brokerages in the 2013 Brokerage Report Card

  • By: Mike Scott
  • May 3, 2013 October 31, 2019
  • 09:24
2013 Brokerage Report Card: TD gains in 34 out of 38 categories

2013 Brokerage Report Card: TD gains in 34 out of 38 categories

Mike Reilly talks about TD’s improvement in 34 out of 38 categories in the 2013 Brokerage Report Card

2013 Brokerage Report Card: Editors discuss the results

2013 Brokerage Report Card: Editors discuss the results

Pablo Fuchs and Clare O’Hara, staff writer, discuss key findings from the 2013 Brokerage Report Card

Firms take two roads

Some of the firms that have tweaked their compensation programs were punished, while those that maintained a steady grid were praised

All eyes on financial planning

Brokerage firms and their advisors are putting a greater emphasis on making sure that their clients have financial plans. One advisor says financial planning is…

Three firms up, three firms down

Six brokerages in this year's Report Card have experienced a shift in their fortunes year-over-year

How we did it

Compiling the 2013 Brokerage Report Card

A year of notable growth

Financial advisors at 13 brokerages say that they and their firms are no longer in a state of recovery they are already seeing significant increases…

Advisors back in growth mode

Although the road back from the financial crisis has been long and slow for Canada's brokers, they finally are seeing their books of business surpass…

Brokerages focus in on diversity

Advisors say their firms are doing a good job at welcoming women and minorities into the brokerage sector

Valuable members of the team

Advisors were asked to rate their sales assistants for the first time in this year’s Brokerage Report Card

Firms improve marketing support

Some bank-owned investment dealers have followed in the footsteps of the top-performing firms by introducing specialized marketing support services that focus on providing customized strategies

Much work to do on tech, back office

Despite many changes taking place within the economy and in the investment industry itself, advisors are still dissatisfied with their firms' technology tools, as well…

Social media now accepted

In past years, firms either were prohibiting their advisors from using social media or just beginning to explore its use. Now, most firms have policies…

2013 Brokerage Report Card main chart

How advisors rated their firms

  • By: IE Staff
  • April 26, 2013 November 6, 2019
  • 11:00

A fine balancing act

Canada's regulators have to keep up with global regulatory developments, but in a way that is suitable for the domestic market

Regulators seen to be too rigid

Three of the four regulators in the Report Card have seen their ratings drop, and those surveyed are unafraid to say why

How we did it

IE expanded the list of survey respondents in order to get a more proper perspective of the provincial regulators

A dichotomy in disciplinary approaches

Compliance officers and the executives surveyed see much improvement with the MFDA and cause for concern with IIROC

Regulators step up communication efforts

Being better informed, having access to a regulator's staff and receiving prompt responses were the key reasons for success