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Financial Planning
December 1, 2006
On the Job Executive Appointments: AXA Distributors in New York has named Kirby John Noel as the company's national sales manager... Bill Carey has left his post as president of the Fidelity Registered Investment Advisor Group... etc. mark for My Articles similar articles
Financial Planning
February 1, 2008
Stacy Schultz
On the Job People: Chris Romney has been promoted to president of Brecek and Young... David Liebrock has been hired by Captrust Financial Advisors... Claymore Securities and Claymore Advisors in Lisle, Ill., has hired Thomas Futrell... etc. mark for My Articles similar articles
Financial Planning
July 1, 2007
Marshall Eckblad
On The Job Lincoln Financial Group in Philadelphia has promoted Terry Mullen to president... National Financial Partners in New York has appointed James Gelder... etc. mark for My Articles similar articles
Financial Planning
May 1, 2005
Jennifer A. Liptow
On the Job Allstate Distributors in Northbrook, Ill., has appointed DeeAnne Asplin to... Lane Jones has been promoted to chief operating officer of Evensky & Katz... RiskMetrics Group in New York has appointed Arthur Levitt... etc. mark for My Articles similar articles
Financial Planning
March 1, 2007
Marshall Eckblad
On The Job Here's a rundown of important executive moves and appointments: Gary Bhojwani has joined Allianz Life Insurance Co... New Yorkbased AXA Financial has promoted Richard Dziadzio... etc. mark for My Articles similar articles
Investment Advisor
July 2007
Changes Shawn Dreffein, president of National Planning Corporation has retired... American Century Investments appointed Barry Fink... etc. mark for My Articles similar articles
Financial Planning
June 1, 2007
Marshall Eckblad
On The Job Bear Stearns in New York has named Suresh Chakravarthi and Shailesh Shah as managing directors for information technology... John Hancock in Boston has hired Michael Zargaj as vice president... etc. mark for My Articles similar articles
Investment Advisor
September 2007
Kathleen M. McBride
Life After Ellyn McColgan Her sudden departure from Fidelity is a loss for advisors. McColgan's departure comes on the heels of Debby McWhinney's abrupt resignation from Charles Schwab earlier this year. mark for My Articles similar articles
Financial Planning
June 1, 2008
Elizabeth O'Brien
Millionaires Ahoy! Independent advisors who are looking to snag more millionaire clients should focus their efforts on prospects who do not already have a registered investment advisor, according to a new study by Fidelity Investments. mark for My Articles similar articles
Financial Planning
February 1, 2005
Jennifer A. Liptow
On the Job Who's going where, when: Stuart Rogers has been named senior vice president of corporate... John Kennedy has joined New York-based AXA Distributors as senior vice president... etc. mark for My Articles similar articles
Registered Rep.
July 23, 2003
Nigel Goodman
Servicing Your HNWs A recent Fidelity Investments survey shows that affluent clients will still replace their advisors if they are not meeting portfolio goals. Predictably, the survey encourages advisors to become more attentive to the needs of their affluent clients. mark for My Articles similar articles
Registered Rep.
October 1, 2005
60 Seconds with Bill Carey (Head of Fidelity's RIA group) The former president of Fidelity's institutional retirement business and a 12-year veteran of the firm talks about his plans for the advisory unit and the challenges confronting advisors. mark for My Articles similar articles
Financial Planning
September 1, 2005
On the Job Woodbury Financial Services has appointed six regional sales directors... David M. Cordell of Lubbock, Texas, was elected chair of... GunnAllen Financial has hired Marc Ellis as its senior vice president... etc. mark for My Articles similar articles
On Wall Street
October 1, 2008
Pat Olsen
From the Pennysaver to the Corporate Suite Andrew McMahon, chairman of Axa Advisors, shares the lessons he's learned along the way in Outside the Grid. mark for My Articles similar articles
Financial Planning
August 1, 2005
On the Job Virginia Jo Dunlap has joined the Certified Financial Planner Board... Boston-based Fidelity Investments has appointed William C. Carey as... Morningstar Investment Services in Chicago has hired Steve Ferrone as... etc. mark for My Articles similar articles
Financial Planning
October 2, 2007
Elizabeth O'Brien
On the Job Mitch Waters has joined AXA Distributors in New York as national sales manager... The AIG Advisor Group in New York has tapped Larry Roth as the broker-dealer unit's chief executive officer... etc. mark for My Articles similar articles
Financial Advisor
June 2007
Sherri Scordo
Financial Advisor's 2007 Broker-Dealer Guide Top independent broker-dealers ranked by gross revenue: LPL... AIG Advisors Group... ING Advisors Network... etc. mark for My Articles similar articles
Investment Advisor
April 2008
Changes New York Life Insurance Company named Ted Mathas as CEO-elect... Prudential Retirement appointed James Cornell as senior VP and chief marketing officer... Vanguard's Board has elected William McNabb as its new president... etc. mark for My Articles similar articles
Insurance & Technology
January 7, 2010
Nathan Conz
AXA Equitable Appoints Four Execs AXA Equitable Life Insurance Company has announced four new executive appointments to support its customer-centric product design, delivery and service strategy. mark for My Articles similar articles
Financial Planning
March 1, 2007
Elizabeth O'Brien
Clearly, Competition LPL's clearing deal with AXA Advisors prompts questions about recruitment among independent broker-dealers. mark for My Articles similar articles
Registered Rep.
June 1, 2005
Kristen French
Fido Attacks! Long a distant second to Charles Schwab in the lucrative business of serving financial advisors, Fidelity is making an aggressive push to close that gap. And some advisors are taking notice. mark for My Articles similar articles
Financial Planning
July 1, 2005
Jennifer A. Liptow
On The Job New York Life Insurance Co. has promoted Scott L. Berlin to... James Bowman has been elected senior vice president and appointed head of the new Life Division of... Federated Investors in Pittsburgh has appointed Curtis R. Gross director of ... etc. mark for My Articles similar articles
Investment Advisor
March 2009
Kara P. Stapleton
Changes People on the move. mark for My Articles similar articles
Investment Advisor
August 2008
Changes Mark Schlafly named president and CEO of FSC Securities and Advantage Capital Corp... Jeff Auld named president and CEO of AIG Financial Advisors... Ted Mathas is now the CEO of New York Life Insurance Company... Three new SEC commissioner nominees... mark for My Articles similar articles
Investment Advisor
April 2010
Robert F. Keane
Catching Up With... A short conversation with Fidelity Client Experience Executive VP Maggie Serravalli. mark for My Articles similar articles
Financial Advisor
August 2012
Karen DeMasters
The Great Migration Though they aren't moving as fast as they were a few years ago, advisors are still in play for independent broker-dealers. mark for My Articles similar articles
Financial Advisor
September 2010
Advisor Emporium Advisor Emporium: Schwab Offers Integrated Technology Platform... National Planning Holdings Launches WealthOne... BlackRock Increases ETF Offerings... Goldman Sachs Adds Fund... more... mark for My Articles similar articles
Financial Advisor
September 2004
Dorothy Hinchcliff
Here Come The Big Boys Fidelity and Pershing are competing for advisors' trust business. mark for My Articles similar articles
Financial Advisor
May 2005
Lavine & Liberman
Uncertain Future The Fidelity Executive Forum raises issues about where the money management industry is headed. mark for My Articles similar articles
Investment Advisor
August 2007
Kara P. Stapleton
News and Products NASD Chairman Mary Schapiro announced July 12 that the new self-regulatory organization... Raymond James advisors Judith McGee, Sheryl Stephens, and Margaret Starner were listed... etc. mark for My Articles similar articles
Registered Rep.
May 1, 2005
13 Percent Percentage of advisors who say they have switched to a wealth management model. mark for My Articles similar articles
Registered Rep.
May 8, 2013
Diana Britton
Moving on Up: Go Independent and Make More $ Advisors who switched firms saw a jump in their compensation, especially among those who went independent. mark for My Articles similar articles
Financial Advisor
July 2011
Shelley A. Lee
Passing The Torch According to the old African proverb, it takes a village to raise a child. The same sentiment could be applied to "raising" a network of advisors. But what happens when the village elders retire? mark for My Articles similar articles
Investment Advisor
November 2006
Now and Then When it comes to plowing through the complexities that are associated with retirement planning, advisors need all the help they can get. Fidelity looks ahead to dominate retirement planning now. mark for My Articles similar articles
Financial Advisor
January 2008
Tracey Longo
Breakaway Brokers Despite being in business a shorter amount of time than the average advisor, breakaways have more assets under management, higher total revenues and a significantly higher growth rate. mark for My Articles similar articles
Financial Advisor
September 2005
Raymond Fazzi
A Question Of Trust Custodians square off in a newly competitive trust services market. mark for My Articles similar articles
Registered Rep.
January 27, 2010
Jerry Gleeson
Two Key Execs Depart Fidelity Why all the turnover in top brass at Fidelity? mark for My Articles similar articles
Registered Rep.
August 24, 2011
Jerry Gleeson
Fidelity: 529 plans not an advisor priority Assets in college-targeted 529 savings plans are growing at double-digit rates, but financial advisors appear to be on the sidelines when it comes to working with clients on the product. mark for My Articles similar articles
On Wall Street
January 1, 2013
Alan J. Foxman
Holding On to a Series 7 Securities License After Leaving a Broker-Dealer Our legal expert explains how to keep a Series 7 license fresh after moving from a broker-dealer. mark for My Articles similar articles
Investment Advisor
January 2010
James J. Green
B/D Briefing: Alignment Time A short interview with Patrick McEvoy, CEO of Woodbury Financial, a 1,700-rep independent broker/dealer. mark for My Articles similar articles
Investment Advisor
August 2009
James J. Green
Millionaires Say 2008 Not So Bad Fidelity's third annual Millionaire Outlook study shows that the high-net-worth feel pretty good about their advisors. mark for My Articles similar articles
Registered Rep.
December 8, 2011
Jerry Gleeson
Fidelity's Upgrade of myStreetscape Includes Mobile Functions Fidelity's new myStreetscape is available on the Web, offers more functions, improved navigation and expanded features. mark for My Articles similar articles
Registered Rep.
February 22, 2011
Lauren Barack
Fidelity Launches Its First Mobile App For Adv Advisors who hopscotch across their territories visiting clients now have mobile access to client files and financials on their iPhones -- at least those who custody with Fidelity. mark for My Articles similar articles
Registered Rep.
November 1, 2004
Stan Luxenberg
The Retiring Kind Keeping the loyalty of retirees is urgent business for fund companies. Retaining retirees is particularly crucial for Fidelity. mark for My Articles similar articles
Financial Planning
July 1, 2005
Brian D. Murphy
Mailbox Letter to the editor: The president of Woodbury Financial responds to the publication's broker-dealer survey. mark for My Articles similar articles
Financial Advisor
December 2007
Joel P. Bruckenstein
Fidelity's Silver Bullet If WealthCentral meets expectations, it will create significant efficiencies and cost savings for those who take full advantage of it. If Fidelity can pull it off, it will leapfrog the technology offerings of other custodians, as well as those of independent providers, by a significant margin. mark for My Articles similar articles
Financial Advisor
June 2008
Tracey Longo
Swimming Upstream California investment advisor John Threlkeld has been working diligently to serve wealthier and wealthier investors, even purchasing two other advisors' practices and turning all but his top clients over to a junior planner. mark for My Articles similar articles
Financial Advisor
September 2006
Tracey Longo
There For The Asking? Some agree banks' loss of investors' trust assets is a financial advisor's gain. Now, for that marketing plan. mark for My Articles similar articles
Registered Rep.
July 8, 2011
Jodie Papike
What To Do When You Smell a Storm Coming At Your B/d New technology and today's 24-hour media cycle have put advisors in a much better position to sniff out trouble at their broker/dealer. mark for My Articles similar articles
Wall Street & Technology
July 1, 2008
Penny Crosman
Fidelity Hires New CIO Fidelity Investments ransacks Morgan Stanley and Merrill Lynch to fill two top IT positions. mark for My Articles similar articles