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Registered Rep.
September 1, 2004
Andre Cappon |
Recruit or Reboot? In terms of retail securities firms and life insurance companies here is a list of some of the pros and cons of training new producers or recruiting experienced producers from competitors.   |
Investment Advisor
June 2009
Russ Diachok |
Survival of the Fittest An assessment of who will succeed -- and fail -- among the independent B/D ranks. |
Registered Rep.
July 1, 2004
Will Leitch |
The End of the World as We Know It? Is the traditional model for securities houses --- investment banking, research, asset management, retail brokerage all coexisting under one roof --- more trouble than it's worth? |
Registered Rep.
August 1, 2005
Kristen French |
Next Year's Model If the one-stop shop is out, what new formula will take its place? In many ways, the Citi/Legg Mason swap looks like an ideal prototype. The thing is, a swap like that is not likely to be repeated. |
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? |
Registered Rep.
March 31, 2015
Diana Britton |
The Rare Prop Product In REP.'s fifth annual Independent Broker/Dealer Report Card, only 19 percent of 2,058 advisors surveyed said they sell in-house or proprietary products. |
Wall Street & Technology
April 26, 2005
Ivy Schmerken |
Broker Research: What's It Worth? The securities industry is hoping that the SEC will clear up the uncertainties surrounding soft dollars and determine once and for all who is responsible for placing a value on proprietary research. |
The Motley Fool
October 7, 2004
Robert Brokamp |
Financial Predators Does your financial advisor care more about your retirement, or his? Look for a broker with whom you can trust and has beat a relevant benchmark after fees and taxes over a three-year period. |
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 24, 2003
David A. Gaffen |
Wachovia-Pru: What's Next The newly-announced joint venture between Wachovia's retail brokerage and Prudential Securities isn't scheduled to close for another 18 months. But the new company should be able to measure the effectiveness of its broker-retention strategy sooner than that. |
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. |
Registered Rep.
November 30, 2005
Kristen French |
Wachovia Shaves Payout, Levels Charges on In-House and Outside SMAs After simplifying it's payout structure earlier this year, Wachovia Securities announced that it would make some more tweaks in 2006 and raise ticket charges on some in-house money-management products to match those of third-party products. |
On Wall Street
May 1, 2011
Bill Willis |
The Pitfalls Of Going Independent If you choose to go independent, you might find a firm that will assist in much of the transition, but establishing and maintaining your culture will be your responsibility. |
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. |
IndustryWeek
January 1, 2007 |
Manufacturing Matters, But Who Can Deliver? Mature organizations are shifting from reactive to proactive strategies when it comes to capital and human asset productivity. |
Registered Rep.
April 1, 2005
Will Leitch |
Indie Research (A Non-Event So Far) When the Wall Street research scandal drew to its close last July, many reps wondered how it would change their lives. In addition to coughing up millions of dollars in fines, the firms agreed to new rules on how sell-side research would be conducted and presented to clients. |
Registered Rep.
January 1, 2006
Kevin Burke |
Balancing Act Part of the fallout from the regulatory onslaught of the past three years has been a drastic overhaul in how mutual funds are sold. Heading into 2006, the money-management business is entering a new era of price competition and consolidation. |
Registered Rep.
March 1, 2008
Mindy Diamond |
What To Know Before You Switch Here are 10 things every financial advisor should evaluate when deciding where to land his next gig. |
Insurance & Technology
February 1, 2006
Cynthia Saccocia |
Value-Added Sales Services Improve Producer Productivity Insurers that demonstrate that they can help producers make more money can differentiate themselves from the competition. To create long-term competitive advantage, carriers must incorporate value-added sales services to their efforts. |
IndustryWeek
March 1, 2009
David Blanchard |
IndustryWeek's 2009 Salary Survey Comments on Manufacturing at the Crossroads One thing all manufacturing managers seem to agree on is that things are tough out there, and getting tougher. |
Financial Planning
June 1, 2008
Philip Palaveev |
Be Careful What You Wish For Understanding the advisor and independent broker-dealer relationship. |
Registered Rep.
February 17, 2005
John Churchill |
NASD Charges American Funds with Directed Brokerage Violation Saying it's just as impermissible to make directed brokerage payments as it is to receive them, the NASD charged American Funds---one of the country's most reputable asset managers---with paying kickbacks to brokerages for selling its funds. |
IndustryWeek
March 1, 2008
David Blanchard |
Manufacturing Is Not For the Faint at Heart -- IndustryWeek's 2008 Salary Survey Comments When asked to comment on the state of the industry, manufacturing managers throughout the United States share a common concern that the odds seem to be stacked against them. |
Insurance & Technology
September 14, 2004
Anthony O'Donnell |
The Power of One Creating a single, unified technology infrastructure built with an eye to future channels can make taking advantage of insurance market opportunities easier and much less costly. |
IndustryWeek
September 1, 2008
David Blanchard |
Eye On China As China rapidly evolves into a more service-oriented economy, U.S. manufacturers need to adjust their China strategy to remain competitive. |
IndustryWeek
March 1, 2007
David Blanchard |
Manufacturing's Biggest Challenges -- IndustryWeek's 2007 Salary Survey Responses If you come to work everyday worrying about global competition, finding and keeping skilled labor, raw material shortages, and the quality of your product, you're not alone. |
Registered Rep.
January 1, 2003
Rick Weinberg |
UBS PaineWebber Cuts Bonuses, Expense Accounts Brokers at UBS Securities received a double hit of bad news in early December. Not only were they informed that the bonuses they receive for assets under management were being cut, but expense accounts are being trimmed as well. |
On Wall Street
September 1, 2011
Bill Willis |
Is Now The Time to Head to Wirehouses? The demise of the wirehouse has been greatly exaggerated. For years, pundits have forecast that a torrent of wirehouse advisors will go independent. But, from where I sit, this torrent has turned out to be a trickle. |
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.
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. |
On Wall Street
March 1, 2010
Helen Kearney |
Compensation 2010 Your definitive guide to the changes in advisor compensation across the industry. |
IndustryWeek
September 16, 2009
Ralph Keller |
Continuous Improvement -- What's the Future of U.S. Manufacturing? Some claim manufacturing is dying here but the numbers tell a different story. |
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.
March 18, 2005
Will Leitch |
Wachovia: On the Recruiting Warpath Wachovia Securities, the third-largest brokerage in the country, has announced an "aggressive" new strategy: the creation of the Individual Investor Group, entirely devoted to the recruitment and retention of individual brokers. |
Registered Rep.
June 1, 2004
David A. Gaffen |
Shaking the Tree It's no secret that most firms are frequently looking for well-established producers, financial advisors who have been making big bucks for a decade or more. Top brass always relishes bagging an elephant from another firm. |
Registered Rep.
November 1, 2002
David A. Gaffen |
Requiem for the $250K Broker Until recently, brokers were immune to the industry's downsizing, which has included a decimation of the ranks of investment bankers and the elimination of thousands of support positions. Brokers, it was assumed, covered their own costs by generating commissions and fees. Not anymore. |
The Motley Fool
June 15, 2005
Selena Maranjian |
Beware of Brokers With Agendas Is your broker recommending a fund that serves you -- or him? Here's a conflict of interest you really need to be aware of -- because it may involve your broker and your portfolio. |
Registered Rep.
November 1, 2007
Erik Kolb |
Recruits In The Driver's Seat Recruiting in the independent broker/dealer business has reached a fever pitch. Firms have responded with recruiting incentives such as deferred compensation, transition financing, practice-management help, and sign-on bonuses. |
IndustryWeek
March 1, 2007
David Blanchard |
Managing Expectations -- IndustryWeek's 2007 Salary Survey Comments Given the chance to weigh in on the state of the industry, their companies and their employees, manufacturing managers reveal what you always suspected: Things are tough out there, and they're likely to only get tougher. |
Financial Advisor
August 2005
Tracey Longo |
Independents Believe Bigger Is Better--And Cheaper Faced with higher costs, broker-dealers are targeting larger advisors. |
Registered Rep.
December 11, 2003
David A. Gaffen |
Smith Barney Changes Payout Grid Smith Barney is altering its compensation system for 2004, with the main goal being to simplify its payouts and make them more product-neutral. |
National Defense
January 2007
Lawrence P. Farrell Jr. |
Manufacturing Edge Essential to Defense While the U.S. defense industry remains unsurpassed, it faces long-term challenges - one of which is its ability to secure innovative manufacturing capabilities. This applies all the way from bombers to boots. |
Investment Advisor
November 2005
Ben Warwick |
Build Your Own Frustrated with the other options, a growing number of financial advisors are starting their own mutual funds. Here's how to do it all yourself, or with a partner. |
Registered Rep.
April 1, 2006
Mindy Diamond |
On the Rebound Big firms are sending low-producing brokers messages that they are no longer as wanted as they once were. Brokers who see the handwriting on the wall, may have better options if they jump to another firm before being pushed. |
Registered Rep.
December 1, 2004 |
A Smaller Share of SMAs for the Lions Distribution Channels: Share of Separate Account Assets |
On Wall Street
November 1, 2009
Bill Willis |
Branch Managers Will Need To Start Producing Again The vast majority of today's new producing managers do not have meaningful client bases and they are being forced back into production. |
Financial Planning
August 1, 2007
Ray Sclafani |
Get Some Support An increasing number of B-Ds are recognizing the importance of coaching and training for advisors -- especially their top producers. |
National Defense
August 2004
Zylstra & Thompson |
`Virtual Supply Chains' Could Help Bridge Manufacturing Gaps The Defense Department has immediate needs for thousands of products for which no domestic supplier can be found. |
Registered Rep.
November 3, 2006
Kristen French |
Morgan Tinkers with Grid; Wants FAs to Aim High James Gorman announced the rollout of a new compensation program that will greatly increase the firm's spending. But, in an effort to get reps to think big, accounts below $50,000 will no longer generate any compensation for the rep. |
Registered Rep.
March 31, 2015
Diana Britton |
Perks of Being an IBD Advisor Many b/ds offer their reps special perks and incentives beyond payout |
