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September 2009 |
Broker/Dealer of the Year, Division II Quick company stats of The Investment Center.   |
Investment Advisor
September 2009 |
Broker/Dealer of the Year, Division III Quick company stats of Sigma Financial Corp. |
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September 2009 |
Broker/Dealer of the Year, Division IV Quick company stats of Woodbury FInancial Services. |
Investment Advisor
June 2006
Green & Murphy |
Recruiting Wars: Freedom and Culture The underlying dilemma of independent broker/dealers and their reps -- interdependence versus independence -- is one of the main dynamics in play when it comes to recruiting reps. |
Entrepreneur
April 2006
Kimberly L. McCall |
Break It Up If a customer calls to grouse about one of your sales reps, what should you do? Here are some ways to finesse this sticky situation. |
Financial Planning
May 1, 2007
Andy Effron |
Practice Tips Finding time to recruit reps and grow your practice can be challenging. But if you're willing to supervise, perform audits and have a Series 24, you can potentially act as an Office of Supervisory Jurisdiction and collect overrides from reps. |
Registered Rep.
December 1, 2005
Kevin Burke |
Edward Jones: Whistle While You Work According to survey results, financial advisors working at this financial firm seem to be living a charmed life. Here's why. |
Entrepreneur
May 2006
Barry Farber |
Star Qualities How can you make sure you shine in your customers' eyes? Adopt the top 5 traits clients say their favorite salespeople share. |
Job Journal
February 19, 2006
Rich Heintz |
Sales or Service? A close look reveals the differences between "telemarketers" and "customer service representatives." Here are a few questions you may want to consider while pondering your job choice. |
Registered Rep.
May 1, 2004
Bill Singer |
It's Your Call Always Far too many reps are learning the hard way how little responsibility clients shoulder when it comes to assessing the suitability of their investments. |
AskMen.com
Mr. Mafioso |
Building Your Reputation Simply having a good rep makes everything you do that much easier. But building one takes time, so start at a young age and guard it with your life. |
AskMen.com
Nick Clarke |
Apply Sales Strategies To Your Job There are lessons to be learned from sales people that can be applied to any job. |
Investment Advisor
August 2010
Thomas D. Giachetti |
The Compliance Coach: Independent Advisors: Don't Violate the Protocol There are two major issues for a registered representative to consider when deciding to leave a firm and go independent. The first is how to leave. The second is appropriate registration and ongoing regulatory complance requirements. |
Registered Rep.
January 1, 2005
Bill Singer |
For the Record An on-the-record interview with the NASD is much less fearsome (and dangerous) when handled correctly. Given that they are becoming more common, it's worth taking a few minutes to understand a rep's rights and obligations. |
Investment Advisor
September 2009
James J. Green |
Chosen: 2009 Broker/Dealers of the Year The firms given the highest ratings among their peers by their own reps in the 19th annual Broker/Dealer of the Year balloting. |
HBS Working Knowledge
August 2, 2004
Jonathan Byrnes |
Account Management: Art or Science? The answer, not surprisingly, is that both aspects are important. But in many companies, the science of account management is neither well understood nor systematically applied. |
Pharmaceutical Executive
November 1, 2014 |
Sales Reps and the New Commercial Organization By rethinking the role of the sales rep and the new skills it demands, pharma companies can put themselves in a prime competitive position. |
Investment Advisor
September 2009
James J. Green |
Who Representatives Voted For Win, place and show in this year's Broker/Dealer of the Year voting. |
Investment Advisor
April 1, 2011
Jonathan Henschen |
Making the Case for Midsized Broker-Dealers Between financial viability and less cumbersome compliance burdens, midsized BDs have a lot going for them |
