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AskMen.com
Edward Chalmers |
How to Write a Letter of Resignation The letter of resignation is more than a professional courtesy, a formality or standard business etiquette. It is a very important step in your career. Here are 10 tips to do it right and make it memorable.   |
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. |
Job Journal
September 30, 2007
Carole Kanchier |
Career Pros: Before You Quit . . . Before you quit your job, consider this thoughtful advice. |
Registered Rep.
August 1, 2004
Bill Singer |
Dealing With Complainers Many official complaints can be handled in a way that minimizes the damage to a rep's reputation and to his permanent record. |
AskMen.com
Gregory Batts |
Quitting Your Job Gracefully Some people change jobs like most of us change shirts. While changing jobs may be more acceptable today than it was 10 years ago, the way you should quit has not changed. |
AskMen.com
October 16, 2003
Ian Harrison |
The Dos & Don'ts Of Quitting Your Job There are few career moves one can make that are more stressful, or cathartic for that matter, than to hand in a letter of resignation. There is a universal list of tenets to adhere to when you do resign and move on to bigger and better endeavors. |
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. |
On Wall Street
August 1, 2013
Alan J. Foxman |
Legal Expert Discusses Commission Contracts Our legal expert discusses how to make sure you re getting your due in commissions. |
Investment Advisor
November 2006 |
FPA Letter to CFP Board This letter documenting concerns over revisions to the Board's Code of Ethics was signed by 21 current and former leaders of the leading professional financial planning organizations. |
Financial Planning
May 1, 2006
Marianne Czernin |
Don't Let Simple Things Trip You Up! Financial professionals must take the time to make sure they understand what the various regulatory organizations require them to do before they actually do it. They shouldn't go it alone, or they could find themselves in the same situations as these reps. |
Registered Rep.
October 1, 2004
Bill Singer |
To Quit or Not To Quit, That Is the Question on Item 14J Among the things many reps fail to consider when they decide to leave a job is the impact of termination upon deferred-compensation agreements, on employee forgivable loans and on noncompete and nonsolicitation provisions. |
Registered Rep.
November 1, 2006
Ann Therese Palmer |
Listen to Your Client Q: I'm handling and making recommendations in an account for an elderly client who has several million dollars in assets... A: From a liability perspective, should you follow the client's insistence here... etc. |
Registered Rep.
May 1, 2004
Bill Singer |
It's Your Call Always Far too many reps are learning the hard way how little responsibility clients shoulder when it comes to assessing the suitability of their investments. |
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. |
Registered Rep.
January 1, 2003
Jonathan P. Arfa |
Do-It-Yourself Arbitration When a rep is laid off or changes firms, there's often a disagreement about how much she is due for her final months of work. |
Investment Advisor
September 2009 |
Broker/Dealer of the Year, Division II Quick company stats of The Investment Center. |
Registered Rep.
January 1, 2005
Jennifer Woods Burke |
Not in My Name Under limited circumstances, NASD Rule 2130 allows registered representatives to erase histories of disputes with customers from the CRD system. |
Registered Rep.
April 1, 2005 |
Death by Nickels and Dimes Although I signed a contract that stipulated ticket charges would be $15, they are now up to $35. Can I do anything to avoid paying more or even go back to the original number? |
Registered Rep.
January 1, 2007
John Churchill |
Will Jones Wrap it Up? Buy-and-hold Edward Jones is considering a platform option it has long eschewed as foreign to the firm's culture: fee-based accounts. |
On Wall Street
January 1, 2009
Alan J. Foxman |
Reimbursing Your Firm Advisors are unsure how to split the cost of damages from a complaint -- and when a settlement goes on the U-4. |
Investment Advisor
September 2008
Eric Schwartz |
B/D or RIA? The Case for the Flexible B/D How independent broker/dealers and advisors can thrive by leveraging the trends of the future. |
Registered Rep.
October 1, 2002
Betsy Riley |
...Especially if They Foot the Bill It's not unusual for firms that settle arbitration cases to make the broker involved in the accusations pay part of the bill, even if the rep isn't specifically named in the case. What options does the broker have? |
Registered Rep.
April 1, 2008
John Churchill |
The Failure Chain Consider the curious and rather grotesque case of Gary J. Gross, a financial advisor from Boca Raton, Fla. Gross' U4 is close to 100 pages long, and lists 35 customer complaints. |
On Wall Street
January 1, 2013
Todd Colbeck |
Establishing an Annual Client Service Model Deploy a strategy that runs itself and thrills your clients, allowing you to provide better service with less effort. |
Registered Rep.
September 1, 2004
Anne Field |
The Weight of Words It's a paradox confronting brokers all over the country: In a business climate that calls for ever-increasing advisor-client intimacy, financial professionals are measuring their words more carefully than ever. |
Registered Rep.
July 1, 2004
Bill Singer |
When Silence Isn't Golden Reps may not inhibit customers or other parties from providing information, documents or testimony or from cooperating otherwise with a regulator in an investigation of alleged violations, even after a settlement. |
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. |
Entrepreneur
June 2006
Marc Diener |
To the Letter A reliance letter can put teeth in an oral agreement. |
Registered Rep.
February 1, 2003
Bill Singer |
Shelter From the Storm? In investor lawsuits against financial advisors, many reps choose to let the broker/dealer's lawyer represent them --- often simply because he's provided "free of charge". Big mistake. |
The Motley Fool
July 20, 2007
Nathan Parmelee |
Board Members With Backbones at TNCC Three of 13 members quit over executive compensation issues. Then there is the suspicious timing of the release of those resignations, and a Nasdaq notification of compliance problems. What's going on at Tennessee Commerce Banking anyway? |
U.S. CPSC
October 31, 2007 |
CPSC Acting Chairman Issues Statement on Letter to Congress A response to those who called for his resignation. |
AskMen.com
Ian Harrison |
Writing A Cover Letter Everyone who sends out a resume should send out a cover letter. Neglecting to do so is a mark of ignorance and laziness that could end your chance of landing an interview. Here are some suggestions for content and format. |
Job Journal
August 12, 2007
Penelope Trunk |
Brazen Careerist: 8 Steps to a Perfect Cover Letter A good cover letter can carry more weight than the best resume. Here are eight rules from the direct mail experts that should guide your cover letter writing. |
Investment Advisor
July 2006
Kathleen M. McBride |
B/d Briefing: Two Faces of Wall Street Few financial professionals expect to work a 40-hour week on Wall Street. So it was surprising to see the extent of rep participation in class-action lawsuits over broker overtime, and the astounding settlements that have been awarded. |
Registered Rep.
October 20, 2006 |
Growing Pains AS tenant-in-common properties continue to flood the market, the industry is clearly working to boost demand for its product. One goal is to bring more licensed broker/dealers to the table. Another option is to broaden the target client base. |
Registered Rep.
March 1, 2008 |
Client Complaints: To Report Or Not To Report When a registered rep should report client complaints. |
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. |
Job Journal
August 3, 2008
Alesia Benedict |
Career Pros: Cover Letters That Sizzle No mere formality, cover letters should pitch your compelling case for a closer look. |
Job Journal
March 25, 2012
Penelope Trunk |
Brazen Careerist: 5 Keys to a Killer Cover Letter A letter accompanying your resume may strike you as a meaningless formality, but it's an important step toward being considered a top candidate. |
Registered Rep.
January 1, 2007
Bill Singer |
I Kid You Not NASD enforcement actions can flatten a registered rep's life savings and bury his career. That's no laughing matter. Still, there are some cases in which the circumstances are so zany that even the prickliest observer can't help but snigger. |
Registered Rep.
March 1, 2008 |
How to Dance the Wall Street Shuffle There's no such thing as an easy route to independence. But there are some things reps can do to ease the transition. |
AskMen.com
Mr. Mafioso |
Building Your Reputation Simply having a good rep makes everything you do that much easier. But building one takes time, so start at a young age and guard it with your life. |
Registered Rep.
June 27, 2011
Diana Britton |
The Good, the Bad and the Ugly It seems like every week, another independent broker/dealer goes under or up for sale because of a bad private placement or other problematic alternative investments. All that turmoil has left a pool of advisors out in the cold, looking for new firms to call home. |
Inc.
July 2007 |
First, Fire Your Assistant. Then, Ax All the Sales Guys The results of a reader survey on which employees get fired and why. |
Registered Rep.
October 23, 2007
David A. Geracioti |
If Allegations Prove True, File This Under: Stupid Broker The SEC has filed a complaint against a former LPL rep and branch manager, who, the SEC says, had been engaging in one of the oldest broker tricks in the book: stealing his clients money. |
Investment Advisor
June 2010
Thomas D. Giachetti |
Independence's Issues There are four main challenges faced these days by independent broker/dealers. |
Financial Planning
September 1, 2006
Marianne Czernin |
Compliance Tips Your Ongoing Commitment to the NASD: It's important to know that as a registered rep currently employed by a broker-dealer, your obligations to the NASD do not cease should you quit and decide to become a carpenter, congressman or pirate. |
Registered Rep.
August 1, 2004
David A. Gaffen |
The Cost of (Financial) Malpractice Insurance In this environment, the level of insurance, specifically called errors and omissions insurance, has become a more important factor in chosing a broker/dealer. |
CRM
August 12, 2011
Hory Sankar Mukerjee |
Success with CRM Three principles to further connections with customers. |
Entrepreneur
March 2006
Kimberly L. McCall |
Make It Snappy Use an elevator speech to captivate customers. |
