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Registered Rep. August 29, 2014 Mindy Diamond	Ten Years of Myths and Moving Why advisors need to purge common "myths" from their thinking about changing jobs.
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. April 1, 2007	Broker Protocol for All? A judge's decision may make it a lot easier for brokers to leave protocol firms at a time when recruiting wars and transition packages are at their peak.
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. November 6, 2008	Bank Of America To Sign Protocol, Herd Still Weighing Options Bank of America intends to sign the so-called "broker protocol," an agreement signed by most of the brokerage firms and RIAs stipulating what client information is acceptable for a departing financial advisor to take without getting sued by the former employer. But when?
Registered Rep. June 1, 2005 Mindy Diamond	Don't Be Afraid to Go for It Openness to switching firms is essential if a broker wants to take advantage of an industry that can, and will, provide brokers with opportunities to capitalize on a lifetime of hard work.
Registered Rep. March 22, 2013 Mindy Diamond	Of Myths and Moving: Part IV When it comes to preconceived notions about the wirehouse world and independence, many advisors have it all wrong. Here are the five most common myths advisors have today.
Registered Rep. October 11, 2010 Susan Konig	Advisor Movement Should Pick Up in 2011, Experts Predict Aggressive and lucrative recruitment packages essentially prompted anyone who wanted a big check to move last year, Diamond says.
Registered Rep. September 26, 2014 Mindy Diamond	Take the Sunset Package or Sell the Business? For employee advisors, exploring your firm's sunset program might be a sound way to face retirement.
Registered Rep. October 1, 2006 Halah Touryalai	Morgan Joins TRO Pact Morgan Stanley has officially opted to join the inter-brokerage pact, first created in the fall of 2004, which stipulates that members will not sue brokers departing to other firms when they try to take their clients with them.
Registered Rep. September 13, 2006 Halah Touryalai	Morgan Joins Inter-Brokerage TRO Pact This firm has officially opted to join the inter-brokerage pact, which stipulates that members will not sue brokers departing to other firms when they try to take their clients with them -- as long as they are moving to another firm named in the pact.
On Wall Street December 1, 2008 Frances A. McMorris	Bank of America Gets on Board Bank of America finally gave in and agreed to join the industry-wide protocol in an effort to prevent an exodus of Merrill Lynch financial advisors.
Registered Rep. September 3, 2015 Mindy Diamond	Should I Stay or Should I Go? When Stifel Financial announced its intent to acquire Barclays' 180+ advisor wealth management unit, the news sent shockwaves throughout the advisor world.
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. September 13, 2010 Susan Konig	Wirehouse Recruiting Stalls, Deals Keep Rising but Fewer Advisors Moving These days there are a lot more strings attached to recruiting packages and in the current market they're not great for brokers or firms.
Registered Rep. May 1, 2006 John Churchill	UBS Bellies Up to the Acquisition Table With the cost of recruiting and training soaring, firms continue to turn to acquisitions. The recent purchase by UBS of Piper Jaffray's brokerage unit won't be the last as competition for clients and their assets continues to intensify.
Financial Advisor January 2009 Eric Rasmussen	Revenge Of The Wirehouses Large Wall Street firms dangle big incentives to hang onto advisors.
Financial Advisor November 2011 Jeff Schlegel	Back In Gear After a slow period, recruiting is revving up again among broker-dealers.
Registered Rep. September 1, 2004 David A. Gaffen	Parting is Such Sweet Sorrow You won't have to steal client addresses and phone numbers any more when switching firms --- that is, if you work for Merrill Lynch, Smith Barney or UBS Securities.
On Wall Street January 1, 2011	Recruiting's Next Big Challenge A conversation with industry headhunters about the job market for financial advisors.
Registered Rep. April 1, 2008 Mindy Diamond	Take it or Leave it The market may be ugly, and the economy may be teetering, but the major wirehouse firms aren't cutting back on the dough they're throwing at new recruits.
Registered Rep. January 1, 2007 Mindy Diamond	New Year, New Job? January is a month for making resolutions in all areas of your life. Make one now to take a realistic assessment of your current career situation. Here are two questions every financial advisor should ask himself periodically.
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.
Registered Rep. June 14, 2012 Mindy Diamond	Broker Protocol Booming As firm-switching among brokers rose to record levels over the past four years, the number of signatories exploded, growing almost 40 fold. Many of the new signatories are RIAs.
Registered Rep. July 1, 2006 Mindy Diamond	Culture Shock Two questions that should be on the mind of regional brokers are: "Would I want to work in a wirehouse, and will it serve my clients' needs?"
Registered Rep. June 6, 2011 John Aidan Byrne	Wall Street Brokerages Set For More Advisor Defections? Switching for big signing bonuses spiked during the recent financial crisis when Wall Street's biggest brokerages merged or were acquired. But it died down a bit after Merrill Lynch and Morgan Stanley offered their financial advisors retention packages.
Registered Rep. October 28, 2008	Merrill Retention Package Angers FAs With "TRO" Language Merrill Lynch financial advisors are worried about one paragraph in the retention contract they received last Friday, October 24 -- very worried. And it has to do with the so-called broker protocol agreement.
Investment Advisor May 1, 2011 Melanie Waddell	Is the Protocol Long for This World? With Wall St. firms carving out 'exceptions,' Patrick Burns asks if a weakened Protocol can survive
Registered Rep. November 1, 2005 John Churchill	Merrill Carrot to Advest Reps Merrill Lynch has proffered retention packages to newly acquired Advest Group's financial advisors, and according to industry observers, the packages are having their desired effect.
Registered Rep. October 8, 2010 Kristen French	Wells Fargo Advisors Hikes Recruiting Bonuses 100 bps In the next couple of months, major Wall Street brokers may be giving Wells Fargo Advisors a closer look.
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.
Financial Advisor November 2008 Gail Liberman	War Breaks Out For Wirehouse Brokers The economic crisis on Wall Street, among many other things, is causing wirehouse brokers to reconsider the value proposition offered by the giant financial service firms.
Registered Rep. March 28, 2011 Kraus & Freedman	Got Protocol? Despite the large number of firms who are party to it, the broker protocol has certainly not stopped litigation with departing Registered Representatives.
Registered Rep. May 27, 2015 Megan Leonhardt	Can Deferred Pay Buy Long-Term Loyalty? With the level of retention deals falling, firms are turning more to deferred compensation as a means to keep advisors in their seats. But is it a short-sighted solution?
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.
On Wall Street February 1, 2013 Matt Greenslade	Competition for Talent in Wealth Industry Stays Strong It s an advisor s market, as firms with diverse practice models strive to nab top talent.
Registered Rep. November 1, 2004 Mindy Diamond	Weighing a Merger's Implications When a securities firm is in the process of merging with another, the knee-jerk response of many reps is to scramble for the exit. Strangely enough, this hasty reaction often is a smart one.
Registered Rep. November 8, 2010 Kristen French	Merrill Strengthens Golden Handcuffs For New Hires, Recruits Small Fry To receive all of his recruiting bonus money, a new hire must now stick around for 14 years, instead of nine, and all of the back-end money is now deferred, where a big portion used to be in cash.
On Wall Street January 1, 2012 Frances A. McMorris	The Year of Movement Whether firms are just getting aggressive or retention packages are losing their grip, advisors are watching their own bottom line.
On Wall Street January 1, 2009 Frances A. McMorris	The 10th Annual Recruiters Roundtable Packages get lowered. Brokers get hired. Markets have tanked. Retention offers are shrinking. And yet, according to the experts in our 10th Annual Recruiters Roundtable, there are still opportunities in the retail brokerage arena, if you know where to look.
Registered Rep. May 1, 2006 Kevin Burke	Failure to Launch Last year, Merrill Lynch's deal to buy Advest was regarded as a savvy transaction. Eight months later, with about 100 reps left, the deal math looks considerably worse. But Merrill may soon have an opportunity to see if it can do better.
Registered Rep. April 1, 2007 Mindy Diamond	New Broker Disorientation Firms are paying gigantic transition packages these days, but they are cutting corners when they bring a new financial on board: There is an almost complete absence of so-called on-boarding, or integration training for new hires, in the brokerage world.
Registered Rep. October 24, 2008 John Churchill	Merrill Retention Is Adequate for Top Dogs, Scanty for Lower-Tier Producers The long-awaited Merrill Lynch retention package has arrived. Not surprisingly, top producers will probably be pleased, but others may not.
Investment Advisor February 2009 Thomas D. Giachetti	The Skinny on the Protocol The law is fairly clear that a departing advisor should not bring any customer information to a new employer.
Registered Rep. October 1, 2004 Nick Ferber	Sunny Days In the interest of arming financial advisors with all they need to assess broker acquisition packages, here is a guide to deciding when it is mathematically justified to make a change.
Registered Rep. February 27, 2014 Mindy Diamond	Free Agents Many wirehouse advisors are frustrated with increased bureaucracy and a loss of flexibility. In fact, many say they will leave unless their firms re-up the retention deals.
Registered Rep. July 22, 2013 Mindy Diamond	The Long Road Home Wirehouse firms are recruiting more independent advisors to their ranks than ever before.
Registered Rep. October 31, 2008 French & Churchill	If Bank of America Signs Protocol, It's Business As Usual. If Not, Maybe Not But Merrill Lynch advisors may not know whether BofA will sign it before they have to sign their own retention agreements.
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. 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.