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On Wall Street
September 1, 2010
Howard J. Stock |
Talent Shortage Grips Firms As Financial Advisors Age After years of recruiting only established, top advisors in the so-called "war for talent" instead of hiring younger employees and training them, the industry is now facing a shortage.   |
On Wall Street
March 1, 2013
Braswell & Konish |
Compensation Plans Step Up to Next Level Compensation plans for 2013 come with new incentives for advisors to strive for growth. |
On Wall Street
June 1, 2013
Lorie Konish |
Editor's Letter: Results of Our Annual Broker-Dealer Survey A run-down of the stories in this issue, including how top firms fared in wealth management, and a look at what new regulations mean for the industry. |
On Wall Street
June 1, 2011 |
The Leaders Speak The most influential leaders in wealth management today expound on evolution, revolution, moving the debate past wirehouse versus independent, and more. |
Registered Rep.
December 21, 2012
Megan Leonhardt |
Looking Back, 2012 A Mixed Bag For Wirehouses Assets mostly were up, but advisors are on the move. |
On Wall Street
March 1, 2010
Helen Kearney |
Compensation 2010 Your definitive guide to the changes in advisor compensation across the industry. |
On Wall Street
March 1, 2012
Lorie Konish |
Go,Teams! When Hilliard Lyons introduced its current team-based award program in its compensation program five years ago, it led to what Executive Vice President Darryl Metzger now calls an "A-HA" moment for the firm. |
On Wall Street
November 1, 2011
Elizabeth Wine |
The Unfaithful Client Cheating on a financial advisor is a known, but frowned-upon client practice. But new research says that it has been gaining traction among high-net-worth households since the market turmoil began in 2008, with many clients bolstering their stable of advisors. |
Registered Rep.
September 30, 2013
Megan Leonhardt |
Wirehouse Evolution Far from a dying model, the big brokerages are changing their game. |
On Wall Street
January 1, 2011
Mike Byrnes |
Pulling Out All Stops Since 2008, the financial services industry has taken a beating-not just in assets under management and performance, but in reputation, as well. |
Financial Planning
June 1, 2013
Ann Marsh |
FP50: Big IBDs Hit a Speed Bump Is the boom over? After years of double-digit growth, independent broker-dealers hit a rough patch in 2012. We report from the front lines of the FP50. |
Registered Rep.
November 30, 2012
Diana Britton |
Withering Wirehouses? Not Quite. Many industry propellerheads have forecasted an exodus of wirehouse advisors to the independent channel as retention bonuses unwind this year. |
Registered Rep.
December 3, 2013
Megan Leonhardt |
Out From Under A rising market lifts many spirits, including advisor satisfaction with the firm that employs them. |
Registered Rep.
December 1, 2011
Kristen French |
Broker Report Card 2011: It's Getting Better All the Time Registered Rep.'s 21st annual Broker Report Cards showed advisor satisfaction ratings creeping higher this year across the board -- on everything from compensation and benefits, compliance support and sales support to products. |
On Wall Street
August 1, 2010
Aarti N. Maharaj |
The Wirehouse Way While the lure of independence has traditionally been viewed as the ultimate siren song for many advisors, many in the industry are finding good reasons to stay with the big companies. And it's not all about the money. |
On Wall Street
November 1, 2012
Mason Braswell |
Back Office Headaches: Inefficiencies Delay Account Opening Inefficiencies in account opening irk advisors and potential clients alike. |
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. |
On Wall Street
February 1, 2011
Lorie Konish |
Will Advisors' Game Of Musical Chairs End Soon? The market crisis that began several years prompted a frantic game of musical chairs as firms and advisors sought their most competitive matches. |
On Wall Street
March 1, 2011
Conrad & Konish |
Compensation 2011 While recruiting packages generate a lot of interest, the actual pay that advisors receive from their firms doesn't get as much attention. So once again, On Wall Street has sifted through the payout grids in our industry for a unique comparison of their pay packages. |
On Wall Street
September 1, 2012
Bill Willis |
Firms Recruit Top Advisors Instead of Developing Their Own Advisors need to feel the love from their firms and their branch managers |
On Wall Street
July 1, 2012
Donald Jay Korn |
Ranking Wirehouses, Regionals Working the Employee Advisor Business A recent report from Cerulli Associates criticized the wirehouses for focusing on higher net worth clients. The result was that these firms were giving away the middle market (investors with $100,000 to $500,000 of assets to invest) to competitors. |
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 4, 2011
Kristen French |
Indie Exodus: Overhyped? In 2009, in the wake of arguably one of the biggest financial crises this country has seen since the Great Depression, over 3,000 financial advisors left Merrill Lynch, UBS, Morgan Stanley and Wells Fargo to start life over at an independent broker/dealer or RIA firm. |
Financial Advisor
March 2012 |
UBS Reeling In Merrill Advisors The big four wirehouse firms are always trying to poach top talent from their rivals, but UBS Wealth Management seems to be doing a particularly job good job of late when it comes to snagging advisor teams from Bank of America/Merrill Lynch. |
Registered Rep.
April 13, 2012
Kristen French |
Wells Fargo Wealth Management Business Posts Stagnant First Quarter Wells Fargo's wealth management business reported no growth in assets and a slight decline in advisors for the first quarter versus the same time period a year ago. |
Registered Rep.
February 13, 2012
Jerry Gleeson |
Raymond James Ramping Up Its RIA with New Leadership, Investment The new president, Bill Van Law, said the company plans to make a significant investment in the business in the months ahead. |
Registered Rep.
November 26, 2012
Mindy Diamond |
Advisors Sober Up For 2013 While the trend toward independence slowed a bit from previous years, 2012 was the year the independent channel legitimized its place next to the more traditional players. |
Registered Rep.
June 21, 2013
Mindy Diamond |
The Ghost Generation There's a shortage of younger advisors entering the field, and it's only going to get worse. Firms need to beef up their training programs and explore new sources of talent. |
On Wall Street
October 1, 2011 |
Who's News Bank of America Merrill Lynch hired Wells Fargo advisor Adam Gurien... Morgan Stanley Smith Barney has hired a team of Wells Fargo Advisors...Raymond James & Associates hires three advisors in Hingham, Mass... more... |
On Wall Street
September 1, 2012
Elizabeth Wine |
Financial Advisors Turn to the 401(k) Market for More Business Advisors look to 401(k) plans as fertile ground for business. |
Financial Advisor
October 2011 |
Frontline News Independent Advisors On The Rise... Uncertain Times For BofA Advisors... Gen Y Good Target For Advisors... etc. |
On Wall Street
September 1, 2008
Donna Mitchell |
Which Firms Leave Clients Most Satisfied? It's easy to call clients in good markets, but more important to call them when times are bad. |
On Wall Street
September 1, 2011
Lorie Konish |
Pursuing Recovery and Profitability When volatility hit the markets in August following Standard & Poor's downgrade of U.S. debt, it left investors and their financial advisors scrambling. How ready are firms and advisors to apply the lessons learned in those dark days? |
On Wall Street
March 1, 2013
Lorie Konish |
Editor's Letter: New Client Rewards A run-down of the stories in this issue, including the annual pay scale review, an interview with Neil Barofsky on the financial crisis, and a look inside HighTower Advisors. |
Financial Advisor
March 2012
Bernie Clark |
The Changing Affluent Investor Advisors must prepare for new affluent clients and the changes, attitudes and expectations they will bring with them. |
On Wall Street
August 1, 2012
Mason Braswell |
Solid Business Models Key to Success in Difficult Economy The second quarter has just wrapped up. It's after the closing bell on the first Wednesday of what many analysts believe will be a tempestuous round of earnings announcements. But Ron Kruszewski, the president and chief executive officer of Stifel Nicolaus, is bullishly calm. |
Registered Rep.
February 29, 2012
Jerry Gleeson |
It's a Tough Route for Younger Advisors Anew report by Charles Schwab, which shows that advisors under the age of 40 are more likely than their older peers to feel pressure to grow their book of business, or to focus on selling proprietary products. |
On Wall Street
August 1, 2011
Lorie Konish |
Expect a New Wave of Advisor Movement Even with rumblings that Wall Street firms could brace for cost cuts and layoffs this summer, competition for top wealth management talent is poised to remain strong. |
Registered Rep.
April 20, 2010
Kristen French |
Merrill Won't Seek Growth Through Top Tier Advisor Hires Merrill Lynch plans to grow primarily by investing in current advisors and hiring rookies, said Merrill Lynch president of Global Wealth and Investment Management Sallie Krawcheck on Tuesday. |
On Wall Street
June 1, 2012 |
Top 10 Branch Managers of the Year As a couple of our top managers say, it is the people you surround yourself with that matters. For the 10 men and women here, it is also their understanding of how each of their advisors operate that has led to their branches' success. |
Financial Advisor
July 2006
Dorothy Hinchcliff |
Climbing A Stairway To Heaven As boomers age and spend their savings, financial advisors will need to adapt their practices. |
On Wall Street
January 1, 2013
Elizabeth Wine |
10 Power Players for 2013 On Wall Street profiles the most influential personalities in the advisory industry this year. |
Registered Rep.
June 5, 2012
Diana Britton |
A Regional Resurgence After years of being considered acquisition targets, regional broker/dealers may be making a comeback. |
Registered Rep.
October 5, 2010
Halah Touryalai |
Creating Your A-Team These days, there's no question that some of the most successful financial advisors in the industry are those who are part of a team. |
Registered Rep.
August 13, 2012
Susan Konig |
Can FA Training Programs Redeem Themselves? Brokerages have an outmoded and inefficient way to train new advisors. The high expense and low success rate of broker trainee programs is increasingly problematic for branch managers, who must continually find new talent. |
Financial Advisor
January 2005
Tracey Longo |
How Fee-Based Programs Led 2004 Brokerage Profits Fee-based profitability is not lost on brokerage executives, who are ramping up programs designed to attract more planners to a fee-based business model and away from traditional commissions. |
Registered Rep.
December 2, 2014
Megan Leonhardt |
Drivers of Advisor Satisfaction: Technology And Efficiency Financial advisors are known to harbor a strong streak of independence and autonomy, and aren't shy when it comes to letting their opinions be known, both good and bad. |
Registered Rep.
May 31, 2013
Megan Leonhardt |
Sizing Up the Street In the latest earnings cycle, here's how the wirehouses stacked up. |
Investment Advisor
April 2008
James J. Green |
Deep Bench To offer wealth management services efficiently, you need strong performers in your corner. |
Financial Planning
June 1, 2010
Paul Menchaca |
Survivor Island Firms that endured the worst of the financial crisis and lived to tell about it. |
