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Registered Rep.
May 26, 2010
Jerry Gleeson |
Bonuses No Balm For Some Breakaway-Minded Brokers Paying retention bonuses to top brokers to keep them from jumping ship is a pricey strategy that only works some of the time, a report released today by Aite Group shows.   |
Investment Advisor
August 2008
Elizabeth D. Festa |
Springtime for Brokers Custodians and independent B/Ds roll out the carpet. |
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. |
Financial Advisor
September 2005 |
Frontline News Second Thoughts Surface On Broker Exemption Rule... New Designation Focuses On Planning For Seniors... New Survey Studies Broker Attitudes... Schwab Enhancing Portfolio Management... Growth Stocks Poised To Perform?... etc. |
Registered Rep.
January 1, 2003
Nicholas Ferber |
Switching Has Changed During trying times like these, many reps are looking to switch jobs. When pondering a move, no question occupies more time or discussion between brokers, hiring managers and (sometimes) recruiters than the following: "What's in it for me?" |
Investment Advisor
May 2006
Murphy & Green |
Breaking Away As the number of breakaway brokers continues to rise, broker/dealers and custodians have implemented programs designed to make the broker's transition to independence as seamless as possible. |
Registered Rep.
December 11, 2002
Rick Weinberg |
PaineWebber Cuts Bonuses, Expense Accounts Brokers at UBS PaineWebber received a double hit of bad news this week in this tough time for brokerages. Not only were they informed that the bonuses they receive for bringing in new assets were being cut, but expense accounts are being trimmed as well. |
Registered Rep.
December 1, 2004
Mindy Diamond |
Packing the Parachute Success in the brokerage industry can be as much about mindset as anything else, so it comes as little surprise that advisors avoid negative thoughts, such as the potential necessity of a quick exit from their practice. |
Registered Rep.
September 1, 2004
Mindy Diamond |
Of Myths and Moving A large number of brokers labor under a group of myths and misconceptions that keep them from managing their careers effectively. |
Registered Rep.
January 1, 2007
David A. Geracioti |
What Advisors Look Like Now Here are selected highlights from a reader survey selected from wirehouses, independent broker/dealers, RIAs, financial planners, bank brokers and insurance reps that offers a pulse from this demographic on business trends. |
Financial Advisor
January 2007
Tracey Longo |
Allure Of Independence Remains Bright Independent broker-dealers step up their recruiting efforts among reps and the already liberated. |
Registered Rep.
February 1, 2005
Mindy Diamond |
Customize Your Career As a result of broker dissatisfaction with the status quo, the increasing clout of top producers (at some firms) and the need for firms to keep successful reps happy, we're beginning to see quite a bit more flexibility. |
Registered Rep.
March 1, 2005
Mindy Diamond |
Don't Be Dazzled by Prestige Names But just as Harvard is not the best place for every high school valedictorian, private client groups at Goldman Sachs or JP Morgan are not always the best places for an advisor focused on ultra-high-net-worth clients. |
Registered Rep.
September 1, 2005
Mindy Diamond |
Look Homeward When financial advisors decide to embark on a job search, they often overlook one very important firm to evaluate: their current one. |
On Wall Street
December 1, 2009
Mark Astarita |
Brokers as Fiduciaries -- Much Ado About Nothing There is a battle cry to place a fiduciary obligation on retail brokers. But the real question is: What difference will it really make? |
Registered Rep.
October 1, 2004
Mindy Diamond |
Prospects Grim for Wirehouse Brokers with Hybrid Books of Business Hybrid brokers -- those with both retail and midmarket institutional accounts-- at wirehouses might soon be a thing of the past, but that doesn't mean those with this business model have no options. |
Registered Rep.
March 1, 2005
Steve Watkins |
Money in the Bank Bank-owned brokerage companies have awakened to the changes they need to make to attract top-shelf talent, and brokers are taking notice. |
Investment Advisor
September 2009
Melanie Waddell |
Not So Fast Cerulli Associates data suggests there may be fewer wirehouse brokers breaking away. |
Registered Rep.
May 1, 2005
Mindy Diamond |
What About Your Retirement? Brokers often take a shortsighted view of their careers, and this usually turns an effort to convince them to think about their own retirements into an uphill battle. |
Registered Rep.
March 1, 2006
Mindy Diamond |
Creative Giving Over the past year, top brokers who have switched houses on the Street have gotten some very creative compensation packages. The better the broker the more bells and whistles -- like loans and designer offices -- they are offered. |
The Motley Fool
October 14, 2009
Dan Caplinger |
The Best Investment You'll Ever Make Stop wasting money and take control of your finances; put your money into a discount brokerage account. |
Investment Advisor
January 2006
Melanie Waddell |
A Notch Higher Broker/dealers expect their clearing firms to act like true strategic partners. |
The Motley Fool
December 10, 2004
Selena Maranjian |
Hooray for Mortgage Brokers! Mortgage brokers get high marks and may help you get a good deal. |
The Motley Fool
August 12, 2004 |
Understanding Mortgage Brokers For many people, the best way to get a mortgage is through a broker. |
Investment Advisor
November 18, 2010
Bob Clark |
After the Flood How will independent advisors deal with the rising tide of breakaway brokers? |
Investment Advisor
December 2005
Melanie Waddell |
Breaking Away Brokers are finding it easier than ever to go independent, aided by custodians and other independent advisors. |
Financial Advisor
April 2005
Tracey Longo |
Winning Over Wirehouse Brokers AIG's transition suites help brokers become independent. |
Registered Rep.
June 2, 2011
Diana Britton |
America's Top Independent Brokerages The Merrills and Morgan Stanleys of the world say it was never an exodus, the migration is over, and it was only those advisors who couldn't make it in the cutthroat wirehouse world who crossed over to the independent side of the business. |
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.
November 1, 2005
Kristen French |
Bonus Bait Morgan Stanley is planning to offer bonuses to brokers who expand their production in 2006. |
The Motley Fool
March 22, 2011
Dan Caplinger |
This Will Make You a Smarter Investor There's more to smart money management than just picking great stocks. Increasingly, it's becoming just as important to find the right discount broker to give you the best and least expensive access to the investments you want. |
The Motley Fool
March 26, 2004
Rick Aristotle Munarriz |
Coup d'E*Trade Online broker goes for speedy executions and finds itself on the fast track. |
Registered Rep.
February 1, 2003
David A. Gaffen |
An Employer's Market It's a hirer's market out there, but brokerage firms have not stopped recruiting. In fact, although it is quieter than usual, many firms are still willing to pony up big bucks in hopes of attracting top-shelf talent. |
Registered Rep.
April 29, 2009
Halah Touryalai |
Wirehouse Advisors Switch Firms in March The number of reps switching broker/dealers during the month was up 34 percent versus the number who switched in February. |
Registered Rep.
April 1, 2005
Mindy Diamond |
Should I Stay or Should I Go? The process of deciding to change firms often hinges on concrete comparisons. But other less tangible factors come into play, too. Here are four questions that get to the heart of both types of criteria. Any rep considering changing firms should answer these before taking any major action. |
Registered Rep.
December 7, 2011
Philip Palaveev |
The Say on Pay: Registered Rep.'s 2011 Compensation Survey Financial advisors continue to expand their practices, work with more clients and receive ample compensation for their efforts. |
Registered Rep.
April 1, 2003
David A. Gaffen |
Your Book or Your Life! What would you do if you lost your book? Where would you turn for new customers? Where could you be hired? Those are questions that keep many advisors up at night. |
CFO
March 1, 2010
David M. Katz |
Is Your Broker Mediocre? It may be a buyer's market, but choosing the best broker is far from easy. |
Financial Advisor
July 2007
Tracey Longo |
The Big Picture Clearing firms stake their future on helping financial advisors' businesses grow. |
Financial Planning
December 1, 2009
Mitchell & Menchaca |
Parity With Brokers For the first time ever, the number of mass-affluent investors who are taking advice from independent financial planners is the same as those who work with full-service brokers. |
Registered Rep.
November 1, 2002
David A. Geracioti |
Looking for Work -- On the QT Are you a broker looking for a job, but afraid you'll be found out? A new Web site, privateclientpro.net, provides a fast, anonymous and comprehensive listing of opportunities. |
The Motley Fool
May 15, 2008
Dan Caplinger |
Don't Pay Your Broker for Free Funds No-load funds don't cost a dime to buy -- except from some brokers. |
Registered Rep.
February 8, 2006
Kevin Burke |
Merrill Brokers to Get Less Money Now, More Later--If They Stay Merrill Lynch has changed the way it pays its brokers to include more deferred compensation and less cash. The new package rewards brokers who stay a long time, while penalizing those that don't. Its aim is reducing turnover, but may also improve the firm's earnings. |
The Motley Fool
May 25, 2010
Dan Caplinger |
Be the Best Investor You Can Be The right broker can make all the difference. |
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. |
Registered Rep.
November 11, 2002
Will Leitch |
Fraud, Dishonesty Are Retail Investors' Big Concerns As you might have guessed: Retail investors' satisfaction with brokerages -- and individual brokers -- have declined, according to the Security Industry Association (SIA) annual investors' attitudes survey. |
Bank Systems & Technology
June 1, 2004
Lisa Smith |
Regaining a Positive Attitude Bankers are feeling better about the economy and their business prospects - and that's translating into renewed IT activity and spending. |
Investment Advisor
May 2010 |
Broker/Dealer News Updates from National Financial, Russell Investments and The Law Offices of Patrick J. Burns. |
Commercial Investment Real Estate
Sep/Oct 2004
Jennifer Norbut |
2004 Compensation Trends A recent survey reveals Certified Commercial Investment Members' and candidates' earning power. |
Investment Advisor
March 2006
Kathleen M. McBride |
Return of the Broker? Full-service brokers are regaining favor among affluent investors, according to recent study. However, it looks like they still have a way to go keep clients satisfied. |
