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The Motley Fool May 20, 2004 Tim Beyers	American Express Unit in Scandal The broker could be a target of a regulatory inquiry into mutual funds revenue-sharing. How can you tell if your own broker or advisor has a conflict of interest?
The Motley Fool August 2, 2005 Selena Maranjian	Questions to Ask Your Broker You may be surprised at how your broker makes his money. Here are some important questions to ask your broker or financial advisor, as not all financial professionals operate by the same rules.
The Motley Fool November 11, 2004 Robert Brokamp	Wall Street's Big, Dirty Secret How they use your retirement money to fund their retirement. Here's how you can separate the good advice from the greedy advice.
The Motley Fool March 22, 2010 Robert Brokamp	Want My Advice? You Can't Afford Me! Look for fee-only advisors as a better alternative to the big brokerage firms. The dirty, little not-so-secret of the mainstream financial-services industry is that middle-class America need not apply.
Investment Advisor September 2008 Robert F. Keane	Far From Retired Tony Purpero thought he was headed into retirement when he returned to southern California, but instead finds himself working harder than ever to help other current and future retirees.
The Motley Fool December 8, 2006	Questions to Ask Your Broker Here is some good advice regarding questions you might want to ask your broker before handing over your hard-earned cash. Make sure you get the right answers before you start investing.
The Motley Fool February 28, 2006 Selena Maranjian	Brokerages Misbehaving The SEC has gotten an earful about brokerages upsetting customers. Investors, the more you know about the stock market and how brokerages and brokers work, the better off you'll likely be.
The Motley Fool February 21, 2007 Mary Dalrymple	Study Before Selling Your Life Insurance If you shun full-service brokers and their high commissions and fees, don't fall for a life settlement that's more in your advisor's interest than your own.
Registered Rep. September 1, 2005 Chris O'Leary	The Trouble With Annuities For registered reps, annuities, one of the most lucrative and complex items in an advisor's repertoire, can appear to be a cure-all for clients. Clients seem to love them, because of the guaranteed income -- even if they don't understand them.
The Motley Fool August 4, 2005 Robert Brokamp	The "Criminals" Who Sell Annuities Not everyone who sells annuities is evil -- but there are enough bad guys to warrant extreme caution. If you're looking for an advisor, or looking at an annuity, take extra time to make sure you're getting a good one.
The Motley Fool February 26, 2009 Selena Maranjian	The Upside of Broker Fees The more frequently you trade, the more you'll pay your broker in commission fees. But many people may not know that factoring in the cost of those commissions can reduce your capital gains -- and cut the taxes you owe.
The Motley Fool April 13, 2004 Selena Maranjian	Full-Service vs. Discount Brokers There isn't a great distinction between them anymore.
Registered Rep. October 1, 2006 Stan Luxenberg	The Best of Both Worlds Is the line between funds and annuities disappearing? Not yet; regulators and corporate bureaucracies insist on separating the two investments. But in the next decade, the distinctions could blur.
Investment Advisor June 2008 Philip Palaveev	The New Model: The Fee-Only Broker/Dealer Independent broker/dealers must tackle head-on the causes of their frustration if they wish to survive.
Registered Rep. January 7, 2011 Kristen French	Will the SEC Curtail Recruiting Bonuses? With brokerage revenues getting squeezed and regulators sniffing around compensation issues and potential conflicts of interest, it's possible that 2011 could bring some changes to broker comp plans.
The Motley Fool October 28, 2004 Robert Brokamp	Don't Be Financial Prey Is your financial advisor working for you? Here are three questions you should ask.
The Motley Fool May 27, 2009 Dan Caplinger	The Smarter Way to Plan Your Portfolio The right fee-only planner can make a huge difference in the outcome of your investments.
Registered Rep. October 5, 2009 Kristen French	Citi Bank Brokerage Converts To All Fees Citigroup announced that it would convert its small North American bank brokerage business completely to a fee-on-assets-based fiduciary advice system, and would stop collecting commissions on stock and fund sales.
The Motley Fool February 15, 2006 Nathan Slaughter	Why I Failed as a Broker Even well-intentioned brokers with a vested interest in seeing their clients succeed will never have as much at stake as you do when it comes to your own money and financial independence.
Investment Advisor August 2008 Elizabeth D. Festa	Insuring 401(k) Success Via Annuities Advisor Michael Salley remains a fan of annuities and insurance company products to help manage his clients' assets.
Registered Rep. September 1, 2004 Namita Devidayal	A Fitting Problem Having found the securities industry severely wanting in its policing of research conflicts, market-timing and fee disclosures, the regulators are looking to see if similar abuses exist in the insurance industry.
Registered Rep. December 1, 2002 David A. Gaffen	Manning the Phones When wirehouses and other major brokerages introduced the notion of call centers a couple of years ago, brokers were suspicious. Although they understood the logic behind the move, it was a difficult adjustment. But call centers are here to stay and brokers are learning to live with them.
BusinessWeek February 7, 2005 Ellen Hoffman	Annuities: Don't Believe The Hype Many of the tax benefits of variable annuities no longer exist, but the hard sell continues
Registered Rep. January 1, 2006 John Churchill	More, More, More Faced with growing competition from other advice providers and fewer inherent advantages in the way of products and platform capabilities, wirehouse brokers will feel pressure to do more fee-based business and to make wealthier clients a bigger part of their practice.
Financial Advisor March 2007 Raymond Fazzi	Annuities Anew No-load variable annuities begin to attract interest among fee-based advisors.
Registered Rep. September 10, 2003 David A. Gaffen	Existing Clients Want More Advice The good news for reps is that the world doesn't hate you. The bad news is that acquiring clients -- particularly affluent ones -- is getting a lot more tough.
Registered Rep. February 2, 2006 Kristen French	Brokers Learning to Play by New Rules It's no longer business as usual on Wall Street. Starting yesterday, broker/dealers must follow a new SEC rule that requires them to disclose at certain times that they may not be acting in their clients' best interest.
The Motley Fool August 13, 2007 Dan Caplinger	Don't Pay Twice for Advice There's nothing inherently wrong with paying for financial advice. But there's a big difference between paying once for a good financial plan versus paying high fees year after year, through good times and bad.
Registered Rep. May 14, 2004 John Churchill	Whom Do You (Trust) The brokerage business is good --- or better, at least. The market is climbing slowly, firms are showing a profit and hiring again (albeit after massive layoffs), and, according to industry studies, affluent investors are in search of advice.
Registered Rep. January 1, 2003 Gaffen & Geracioti	The Future of the Industry The broker has to be a person who can handle every aspect of a client's financial life. The broker must evolve into a kind of chief financial officer for the client -- managing everything from investments to insurance to estate planning to mortgage banking.
The Motley Fool March 31, 2010 Dayana Yochim	Why Bernie Madoff Deserves Your Thanks If nothing else, his shenanigans made us smarter consumers. If you weren't wary of the advice you bought before, you sure are now.
Financial Advisor March 2004 Tracey Longo	Making The Grade With Variable Annuity Exchanges With the creation of one-shot wrinkle reducers like Botox, battery-operated automobiles and cloned humans, can a world where there is no need to replace variable annuities be far off?
Investment Advisor March 2006 Melanie Waddell	The Playing Field: Here, There and Everywhere Dually registered advisors (advisors who are registered with both the SEC and the NASD, and are collecting both fees and commissions) have the best -- and worst -- of both worlds. However, a new study shows when implemented properly, the hybrid model can be very profitable.
Registered Rep. August 9, 2011 Diana Britton	Insurer-Affiliated Reps Show Increased Interest in Selling Investments Advisors affiliated with insurance companies are not locked into the insurance commission mentality; many of them looking to diversify their sources of revenues with other types of investment products as well as AUM-based fees.
The Motley Fool February 3, 2010 Amanda B. Kish	This May Save the Mutual Fund Industry Finally, investment advisors are wising up. An ongoing change in how many financial advisors get paid is having broad implications for the business.
Registered Rep. August 1, 2006 Kristen French	The Way We'll Be While it's clear how the financial services industry got here, it's not so easy to predict where we're going. Here's a look at three major forces that will likely shape the industry over the next five to 20 years: The Age of Retirement... The Margin Squeeze... RIA Revolution...
Investment Advisor August 2007 Melanie Waddell	Will 12b-1 Fees Survive? Will the securities and Exchange Commission repeal 12b-1 fees? It depends on whom you ask, but SEC Chairman Christopher Cox has vowed to either repeal or revamp the Commission's 12b-1 rule by year-end.
On Wall Street September 1, 2009 Helen Kearney	On Life Support a Year Ago, Merrill Pays for Top Producers Merrill, under BofA, seems to be on the hunt to add to its ranks, and it's offering a very competitive package that has almost unlimited upside for top producers.
Registered Rep. April 1, 2010 Halah Touryalai	Citi's Covert Makeover It's a major shift in business for an entire unit to leap in the fee-only RIA world.
The Motley Fool February 24, 2004 J. Graham	Beware of Brokers Bearing Annuities Annuities may sound good, but their costs overwhelm their benefits. Stockbrokers and financial advisors love to sell annuities because of the high commissions they reap. My ex-broker sold one to me, and it has proven to be the most restrictive, highest-cost, least-liquid, and poorest-performing investment in my portfolio.
Registered Rep. October 1, 2002 Pamela J. Black	The Pros and Cons of Annuities With retirement accounts battered by the bear market, guaranteed income from a fixed annuity now has more appeal, especially for clients who may be too close to retirement to count on a rebound from equity markets alone. This article surveys types of annuities, tax implications, and fees.
The Motley Fool September 24, 2004 Nathan Slaughter	A.G. Edwards Misses the Mark The full-service broker reports Q2 earnings just shy of estimates.
Registered Rep. March 1, 2003 Ross Tucker	Fees? Sigh, Ho Hum Relatively few brokers are increasing their commitment to fee-based advisory practices, even in this everything-to-gain-from-change economic environment.
Financial Advisor March 2006 Nancy Lininger	Letters to the Editor The New Advisory-World Order: Commissioned reps have lost clients over the years to discount brokers, day traders and now, the divine fee-only advisor. Firms embracing fees and commissions, and offering the most services and compensation options, will be reborn.
Registered Rep. June 1, 2004 Kevin McKinley	Fee-ling Good Tips for financial advisors on establishing and maintaining fee-based relationships the right way.
The Motley Fool March 3, 2010 Robert Brokamp	You Need a Financial Advisor If you can't or would rather not manage your money, then a fee-only financial advisor is your best bet.
Registered Rep. March 1, 2007 Mindy Diamond	Of Myths and Moving: Revisited The thought of changing firms is a big step for any financial advisor. But don't let cloudy thinking get in your way. Make sure you stop paying heed to old Wall Street myths. Don't fear change. Embrace it.
Registered Rep. February 23, 2010 Halah Touryalai	Clients, The New Breakaways First, there was the breakaway broker phenomenon; now, it seems, we have a growing vogue of breakaway clients -- former wirehouse investors who ditch their old advisors for new ones at independent RIAs or broker/dealers.
Financial Advisor August 2006 Tracey Longo	Late Summer Recruiting While the recruiting party will get tougher some day for broker-dealers who cater to independent advisors and reps, for now they are enjoying their competitive advantage: They give brokers and advisors who want to own their own business the chance to do that.
Investment Advisor July 2007 Jonathan Henschen	B/Ds in the Year 2010 What the future holds for independent broker/dealers: technology... outsourcing... marketing... practice management... succession planning... alternative investments... fees...