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Registered Rep.
January 1, 2007
Nancy Opiela |
Love, Life...Insurance In general, life and health insurance are subjects financial advisors discuss reluctantly and infrequently. But they're tools that are essential to wealth management.   |
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
August 2009
Melanie Waddell |
More Annuities Used in Income Portfolios Advisors are increasingly turning to annuities to help cover their clients' basic needs in retirement. |
Registered Rep.
April 15, 2015
Megan Leonhardt |
Regulators Concerned B/Ds Recommending Unsuitable Products to Seniors With seniors more dependent than ever on their investments for retirement, regulators have found a number of broker/dealers may have recommended unsuitable products and not adequately disclosed risks. |
Investment Advisor
January 2006
Melanie Waddell |
The Playing Field: Banking on Wealth Management The oldest baby boomers hit 60 next year, so now is as good a time as any to assess whether you're truly providing the wealth management services that your existing clients, and prospective ones, need. Help from a broker/dealer, consultant, or a colleague is well within your reach. |
Registered Rep.
August 1, 2005
Janet Arrowood |
The Great Insurance Race Given all the benefits that insurance can deliver to both registered reps and clients, an increasing number of reps are deciding it's worth the effort. |
Investment Advisor
September 2009
Lewis Schiff |
The Affluentialist: Building Retirement Portfolios Now Few advisors use a cookie cutter approach to retirement income support. |
Investment Advisor
August 2010
Melanie Waddell |
Broker/Dealer Marketing: Finding Their Voice Broker/Dealers are waking up to the new, post-downturn marketing environment. Here are a few of the best ideas. |
Investment Advisor
June 2007
Savita Iyer |
Building Collaboration Reps of Securities America are thrilled with the company's new knowledge-sharing and peer support program, which makes use of the Internet so that reps can share their brain power with each other to enhance the business performance of their practices. |
Investment Advisor
September 2007
Kathleen M. McBride |
Around the Table The leaders of the 2007 Broker/Dealers of the Year speak frankly about their challenges and opportunities. |
Investment Advisor
March 2007
James J. Green |
Your Partners' Role In Retirement Planning Schwab Institutional CEO sees a "giant psychographic shift" and "fantastic growth opportunity" for independent advisors. |
Investment Advisor
June 2009
James J. Green |
From the Silver Lining Department While the market performance of the last 18 months (at least until March 9) has hurt just about every investor and advisor across the board, there are some silver linings from the downturn. |
Registered Rep.
January 1, 2007
Alan Lavine |
Fish or Fowl? Are equity-indexed annuities securities or insurance? The NASD offered only loose recommendations to member firms about how sales of this product should be conducted and supervised, but most broker/dealers are implementing them anyway. |
Registered Rep.
July 8, 2011
Lauren Barack |
AIG's Advisor Group Kicks Open Door to Social Media For Reps Advisor Group will allow its more than 4,800 independent reps to, in many cases, post freely on Twitter, LinkedIn and Facebook. |
On Wall Street
September 1, 2010
Matthew Leung |
Here Today, Here Tomorrow - New Sources Of Income For Retirement It's official. Pensions and social security are no longer viewed as the primary sources of retirement income. |
On Wall Street
November 1, 2008
Elizabeth Wine |
Seeking Unsexy Annuities Annuities have received a bad rap of late for their high fees and confusing contracts. But as other investments tank, clients are once again looking for guaranteed income streams from their portfolios. |
Investment Advisor
January 2006
Kathleen M. McBride |
Balancing Act The broker/dealer model is changing, spurred by business and regulatory pressures, and reps may stop talking to their clients. |
Investment Advisor
March 2009
Kara P. Stapleton |
Succession & Valuation A Financial Services Institute OneVoice Broker/Dealer session dealt with internal succession, discussing the steps that advisors and independent broker/dealers need to take when developing a succession plan. |
Registered Rep.
April 1, 2009
Halah Touryalai |
No Buyers--Still--For AIG-owned B/Ds AIG announced its plan to sell its independent broker/dealers back around October 2008. Six months later, nothing has changed except that reps we spoke to are even more frustrated. Some say they are ready to bolt. |
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.
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.
September 1, 2004
Will Leitch |
For Advisors, 2003 Was a Better Year The fortunes of advisors took a turn for the better in 2003, according to the annual report from the Securities Industry Association. |
Registered Rep.
January 1, 2006
Kristen French |
What's in a Name? Financial advisor is the name most of the other wirehouses use for their registered reps these days. It reflects the industry's attempts to transform its reps from commission-based stock jockeys to fee-based relationship managers. |
Investment Advisor
September 2008
Philip Palaveev |
The Case for Commissions Commission product uses fall into six primary categories. Read on to see what they are. |
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... |
Registered Rep.
September 1, 2005
Kristen French |
VA Sales Keepin' On Despite the recent onslaught of negative regulatory and media attention to variable annuities, sales of these products have not suffered. |
Financial Advisor
August 2006
Hannah Shaw Grove |
Life Insurance And Wealth Management Helping client with life insurance is an important service of effective wealth managers. |
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. |
Financial Planning
June 1, 2010
Paul Menchaca |
Tale of a Tough Year What the numbers show: a dramatic seven-month stock market rally was not enough to help most of the top 50 broker-dealers counter the aftershocks of the financial crisis. |
Registered Rep.
November 1, 2004
Will Leitch |
The Advisor as Traffic Cop As high-net-worth investors spread their assets around more liberally, they are finding themselves in need of a traffic cop -- a central advisor who can sit in the middle of all the financial activity and make sense of it all. |
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. |
Investment Advisor
September 2008
Melanie Waddell |
Whither the Independent B/D? Securities America's acquisition of Brecek & Young is yet another sign of dwindling independent broker/dealers. |
Investment Advisor
January 2009
Kara P. Stapleton |
Passing It Along Advisors take note: Despite the market maelstrom that has slashed the value of portfolios left and right, there is still plenty of wealth that is on the brink of being transferred from one generation to another. |
Registered Rep.
August 10, 2011
Diana Britton |
LPL Conference Opens with New Initiatives, Support for Advisors LPL Financial kicked off its annual conference in Chicago on Monday by ringing the opening bell of the NASDAQ stock exchange and announcing some new initiatives aimed at supporting advisors. |
Investment Advisor
June 2009
James J. Green |
Best of Times, Worst of Times Securities America and Capital Analysts have responded to the financial crisis in quite different ways. But they're also quite similar in how they're proactively changing their business models to help reps and the home office thrive |
On Wall Street
April 1, 2010
Alan J. Foxman |
New Firm, Better Annuity, Client Still Not Happy Advisor Q&A: Client complains about annuity surrender charge... Terminated reps and identity theft... |
Investment Advisor
March 2006
Robert F. Keane |
Safety First No one wants to pay for E&O insurance, but advisors admit it helps them sleep better. |
Registered Rep.
August 9, 2010
Susan Konig |
How One BOM Retains Top FAs The dizzying industry turmoil of the last few years has induced wirehouses to offer their top producers some of the largest retention packages ever. |
Registered Rep.
May 18, 2010
Alan Lavine |
No-Load Annuities Gain Momentum As more wirehouse registered reps join RIAs or start their own, as income tax rates rise, and as Baby Boomers continue their march into retirement, expect investments in no-load variable annuities to grow. |
Registered Rep.
January 6, 2010
Halah Touryalai |
Wirehouse FAs Switching B/Ds Slows The number of wirehouse advisors switching broker/dealers has been in steep decline since June. |
Financial Planning
January 1, 2010
John J. Bowen Jr. |
Beyond Investments Your affluent clients want help protecting, enhancing, transferring and donating their wealth. Are you ready to meet their needs? |
On Wall Street
November 1, 2010
Gallant & Schneider |
Navigating The Retirement Business The demand for retirement income support will continue to grow rapidly in the coming years as the aging of the baby boom generation is inevitable. |
Investment Advisor
February 2008
James J. Green |
Lessons From a Banker Investment Advisor meets with investment banker Nimi Natan, who specializes in putting together deals for smaller business owners looking to sell or merge their businesses. |
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.
December 4, 2012
Jerry Gleeson |
Taking Care of Business A survey this year by REP./Wealth Management.com shows how RIA attitudes differ from those among advisors in other channels. |
Investment Advisor
August 2008
James J. Green |
Catching up with...Mitch Politzer Even if there has been a sea change in annuities, there's still a lag among advisors in terms of using the products. Mitch Politzer, president and CEO of First Ameritas Life Insurance Corp. of New York, discusses the instruments. |
Investment Advisor
November 2005
Bob Clark |
Clark at Large: Boom Time If you're like most financial advisors, your baby boomer clients will pose a significant challenge in the years to come, both in the way you manage client portfolios and your practice. |
Financial Planning
September 1, 2008
Stacy Schultz |
Are the Times Changing? A new study shows that 75% of advisors say they provide a written plan for their clients' retirement planning. Read on to see more specifically what they are doing. |
Registered Rep.
October 28, 2010
Jerry Gleeson |
Ameriprise Profits Pop, Advisors More Productive Ameriprise's Advice and Wealth Management business is doing more with less: fewer advisors, higher revenue and profits. |
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. |
