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Registered Rep.
December 1, 2005
Kevin Burke |
A.G. Edwards: Quietly, the Leader of the Pack Building on its strong performance from a year ago, A.G. Edwards lit up the scoreboard this year. Advisors say the St. Louis-based firm has a high-quality work environment, commitment to clients and freedom from pushing certain products.   |
Registered Rep.
December 1, 2005
Kevin Burke |
Edward Jones: Whistle While You Work According to survey results, financial advisors working at this financial firm seem to be living a charmed life. Here's why. |
Registered Rep.
January 1, 2005
David A. Geracioti |
A Whole New Ball Game Financial advisors who grew accustomed to the little, and sometimes not so little, treats that mutual fund wholesalers lavish on them may have noticed a certain lack of swag lately. |
Registered Rep.
December 1, 2005
Kristen French |
Merrill Lynch: Still Wirehouse Queen Merrill reps like what they see. This year, the firm kept top honors among wirehouses in the Broker Report Card surveys, and beat its own overall score from last year. |
Registered Rep.
November 1, 2006
John Churchill |
A.G.E. to Catch a Rep Instead of buying brokers like its peers with offers of big upfront forgivable loans, A.G. Edwards is offering its own reps bonuses for successfully recruiting good reps. |
Registered Rep.
June 7, 2004
Will Leitch |
A.G. Edwards Signs Tech Deal with Dell A.G. Edwards has struck an outsourcing deal with Dell, under which the computer firm will provide server systems, desktop computers and on-site support to the firm's reps. |
Registered Rep.
October 1, 2004
Will Leitch |
The Rep's Ugly Friend As the industry continues its inexorable march toward "wealth management," advisors have had to add new tools to their workbenches. Among all of them, reps seem to have the most trouble getting comfortable with life insurance. |
Registered Rep.
December 14, 2010
Diana Britton |
Less Under the Christmas Tree From Wholesalers? Advisors say the Christmas gifts as well as marketing support from mutual fund wholesalers such as Vanguard and Dimensional Fund Advisors have been thin this year. |
Registered Rep.
September 1, 2005
John Churchill |
The Battle at Home In today's competitive environment, it doesn't take long for a soldier/rep's book to fall prey to poachers. |
Registered Rep.
July 13, 2007
Susan Konig |
Post Acquisition, A.G. Edwards BOMs Have Tough Job to Do With the Wachovia purchase of A.G. Edwards, it's not just A.G. Edwards reps (some of whom fear that the AGE corporate culture will change) who are worried. So are acquired firm's branch managers. |
Registered Rep.
August 10, 2004
David A. Gaffen |
Fleeing Brokers Can Take Some Client Info Three of the nation's largest brokerage firms have agreed to make it easier for registered reps to take clients with them when they change firms, eliminating a lot of the cloak-and-dagger antics that brokers often suffer when making a move. |
Registered Rep.
January 31, 2006
John Churchill |
A.G. Edwards Cutting Compensation As the brokerage industry moves upmarket and seeks better return on equity and profit margins, the pressure for reps (and their firms) to produce continues to increase. |
Registered Rep.
May 1, 2005
Chelsea Hardaway |
A Random Walk Down Brand Street The corporate way of communicating has been so bad for so long, many of us have stopped caring altogether. A.G. Edwards: Finally, a brokerage firm that gets it. |
Registered Rep.
February 21, 2007
John Churchill |
Smith Barney Comp Pleasant Surprise Judging from initial reports from reps, the written version of the new plan is an improvement from the prior version -- a plan many reps equated to a pay cut despite the firm's insistence that it was "revenue neutral." |
Registered Rep.
November 14, 2008 |
Update: 6,200 Merrill FAs Sign BofA Retention At Deadline Merrill says that only about half of the firm's nearly 17,000 advisors were eligible in the first place, and that they are responsible for about 75 percent of the firm's production. |
Registered Rep.
June 1, 2005
Will Leitch |
Edwards Weighing How to Settle A.G. Edwards is ready to talk about paying for its transgressions in the sale of Class B and Class C mutual fund shares. |
Registered Rep.
February 1, 2006
Kevin Burke |
Dinosaurs Roaming the Earth The days of a mutual fund wholesaler coming in, talking about performance and making light banter are mostly over. In fact, some asset managers are rethinking how the wholesaling process should look, from the ground up. |
Registered Rep.
October 1, 2004
Bela Houston |
Confessions of a Fund Analyst Wholesaler-sponsored junkets aside, fund analyst is a thankless job. You put your heart and soul into finding what you think is the best process and the best people doing the managing, and the work often goes unnoticed. |
Registered Rep.
September 17, 2008 |
Merrill Reps: Waiting For Retention News Brokers were told they would be offered retention packages, but no further details have been offered so far. |
Investment Advisor
August 2010
Thomas D. Giachetti |
The Compliance Coach: Independent Advisors: Don't Violate the Protocol There are two major issues for a registered representative to consider when deciding to leave a firm and go independent. The first is how to leave. The second is appropriate registration and ongoing regulatory complance requirements. |
Registered Rep.
June 15, 2007
Kevin Burke |
Wachovia Extends Olive Branch to A.G. Edwards Reps. Will They Accept? Just 15 days after it announced it was buying A.G. Edwards, Wachovia Securities announced its retention package for A.G. Edwards reps. |
Registered Rep.
November 1, 2006
Christopher O'Leary |
Bust a Move...Cleanly Many registered reps have learned that the process of leaving a big firm can turn into a long, painful, litigious and even terrifying ordeal. From the moment you decide to leave a wirehouse, every move you make needs to be right. |
Registered Rep.
December 1, 2005 |
Registered Rep.'s Broker Report Cards How seven of the nation's largest brokerage firms stack up against each other. |
Registered Rep.
August 1, 2005
John Churchill |
Brokers Called Up for Active Duty Face Licensing Headaches, Book-Poaching Colleagues For registered rep reservists serving in one of the nation's armed forces, coming home and returning to the job is soon to get a lot easier. Of course, the NASD says there is nothing it can do to prevent colleagues from stealing a GI advisor's book. |
Registered Rep.
November 1, 2005
John Churchill |
The Money Squeeze There's one thing that stands between the big retail brokerage firms and the high profit margins that the executives of these firms and their investors seek: the financial advisor. |
Registered Rep.
February 20, 2004 |
Extinct?: February's Cover Story Conferences were held to instruct reps in working as portfolio managers, and, in general, the improved technology made managing portfolios---and thus serving clients---a lot easier. |
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.
April 12, 2004
Will Leitch |
A.G. Edwards Inks Deal With Morningstar A. G. Edwards signs deal with investment research firm Morningstar to integrate its mutual fund research, data and ratings with Edwards' existing infrastructure. |
Registered Rep.
January 1, 2005
Bill Singer |
For the Record An on-the-record interview with the NASD is much less fearsome (and dangerous) when handled correctly. Given that they are becoming more common, it's worth taking a few minutes to understand a rep's rights and obligations. |
Registered Rep.
December 1, 2002
Martin R. Baird |
A Master Plan As a financial planning rep, your marketing plan should be composed of three simple but critical elements and it should come together like a good financial plan. |
Entrepreneur
April 2006
Kimberly L. McCall |
Break It Up If a customer calls to grouse about one of your sales reps, what should you do? Here are some ways to finesse this sticky situation. |
Financial Advisor
June 2006
Tracey Longo |
Is Any Stone Unturned? Is the NASD's regulatory clampdown over? Major changes are in place at the sales force level. |
Registered Rep.
January 1, 2005 |
I'm A Broker, You're A Broker At most publicly traded national broker/dealers, about 35 percent of employees are called financial advisors. |
Registered Rep.
April 21, 2009
Christina Mucciolo |
Smaller Advisors On The Firing Line It used to be that financial advisors never got fired. |
Registered Rep.
November 1, 2003
David A. Gaffen |
Is Wall Street Abandoning Main Street? Are the major brokerage firms losing interest in the everyday investor who has been the very foundation of many of its successes? |
On Wall Street
January 1, 2009
Parisi & Leung |
Friend or Foe? Getting the Most from Your Wholesaler A strong relationship between the advisor and wholesaler can expand business and create the best of client experiences. |
Registered Rep.
June 1, 2005
John Churchill |
Wall Street's Big Curtain Call How baby boomer brokers move into retirement over the next 10 to 15 years will change the face of the industry in many ways. |
