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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. |
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. |
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. |
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. |
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. |
Investment Advisor July 2007 |
Changes Shawn Dreffein, president of National Planning Corporation has retired... American Century Investments appointed Barry Fink... etc. |
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. |
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. |
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. |
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. |
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. |
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. |
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. |
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. |
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. |
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. |
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. |
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. |
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. |
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. |
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. |
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. |
Investment Advisor March 2009 Kara P. Stapleton |
Changes People on the move. |
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... |
Investment Advisor April 2010 Robert F. Keane |
Catching Up With... A short conversation with Fidelity Client Experience Executive VP Maggie Serravalli. |
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. |
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... |
Financial Advisor September 2004 Dorothy Hinchcliff |
Here Come The Big Boys Fidelity and Pershing are competing for advisors' trust business. |
Financial Advisor May 2005 Lavine & Liberman |
Uncertain Future The Fidelity Executive Forum raises issues about where the money management industry is headed. |
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. |
Registered Rep. May 1, 2005 |
13 Percent Percentage of advisors who say they have switched to a wealth management model. |
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. |
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? |
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. |
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. |
Financial Advisor September 2005 Raymond Fazzi |
A Question Of Trust Custodians square off in a newly competitive trust services market. |
Registered Rep. January 27, 2010 Jerry Gleeson |
Two Key Execs Depart Fidelity Why all the turnover in top brass at Fidelity? |
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. |
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. |
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. |
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. |
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. |
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. |
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. |
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. |
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. |
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. |
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. |
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. |
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. |