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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. March 1, 2007 Mindy Diamond	Of Myths and Moving: Revisited The thought of changing firms is a big step for any financial advisor. But don't let cloudy thinking get in your way. Make sure you stop paying heed to old Wall Street myths. Don't fear change. Embrace it.
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.
Financial Advisor November 2011 Jeff Schlegel	Back In Gear After a slow period, recruiting is revving up again among broker-dealers.
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. May 13, 2009 Christina Mucciolo	Wall Street Squeezes Small Brokers, Many Go Independent In this brutal market, many advisors are taking payout cuts or being let go. But many of these advisors are finding homes at independent and regional b/ds and RIA firms.
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 December 2005 Melanie Waddell	Breaking Away Brokers are finding it easier than ever to go independent, aided by custodians and other independent advisors.
Registered Rep. May 14, 2013 Mindy Diamond	The Economics of Choice In many cases, the economics of the independent model can be exponentially better than those being touted by the wirehouses today.
Investment Advisor September 2009 Melanie Waddell	Not So Fast Cerulli Associates data suggests there may be fewer wirehouse brokers breaking away.
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. June 28, 2013 Diana Britton	60 seconds with Scott Collins We asked the Director of Advisor Transitions for TD Ameritrade Institutional what can we expect to change in advisor recruiting going forward?
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. 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. March 1, 2008 Mindy Diamond	What To Know Before You Switch Here are 10 things every financial advisor should evaluate when deciding where to land his next gig.
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. February 28, 2013 Mindy Diamond	You Have Chosen... Wisely These days, advisors have more choices than ever when it comes to business models, making the decision that much more difficult. Which one best suits you?
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. April 18, 2012 Diana Britton	Tiburon's Roame: Less of a Breakaway Trend, More of a `Broken-Away' Trend Whether you agree with him or not, Chip Roame, managing principal of Tiburon Strategic Advisors, is not afraid to tell you exactly how he sees it when it comes to the financial services industry.
On Wall Street July 1, 2010 Bill Willis	Defining A Firm's Label, Where Do You Fit In? We in the securities industry make a big deal of classifications for our firms. However, over the years these categories have become blurred, as have their advantages and weaknesses.
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.
Financial Advisor June 2009 Jeff Schlegel	Money In Motion The economic crisis has wreaked havoc on wirehouses, and more advisors are looking for new opportunities.
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.
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. 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.
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.
Registered Rep. October 1, 2005 Mindy Diamond	What Size Pond? It is important for advisors to find a firm that is a good fit for their particular goals. In many cases, small firms work well. For advisors looking to expand their books aggressively, larger firms are often -- but not always -- a good option.
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. April 1, 2008 John Churchill	Good Times, Bad Times Shares of the major broker/dealers are getting hammered. The good news is, for those of you who have always wanted to move on, but couldn't because it made you sick to leave unvested options on the table, this may be your moment.
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. February 16, 2010 Mindy Diamond	Recruiting Bonuses Are Still Strong TD Ameritrade, Schwab, Fidelity and Pershing are all reporting that their pipelines of interested advisors is more robust than ever in their collective histories.
Financial Advisor January 2009 Eric Rasmussen	Revenge Of The Wirehouses Large Wall Street firms dangle big incentives to hang onto advisors.
Registered Rep. March 12, 2010 Mindy Diamond	Break Back Brokers Over the last six months, an interesting reverse shift is occurring: the RIA or independent b/d advisor who wants to return to (or go to for the first time) a wirehouse firm.
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?
Investment Advisor August 2005 Mark Tibergien	Formulas for Success: Independence Day There is a growing trend toward registered reps moving out of the wirehouse environment -- a trend invisible to most, but obvious to the country's leading custodians: they are actively wooing breakaway brokers.
Registered Rep. June 2, 2011 Diana Britton	America's Top Independent Brokerages The Merrills and Morgan Stanleys of the world say it was never an exodus, the migration is over, and it was only those advisors who couldn't make it in the cutthroat wirehouse world who crossed over to the independent side of the business.
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. 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. 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. 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.
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. March 1, 2006 Mindy Diamond	Creative Giving Over the past year, top brokers who have switched houses on the Street have gotten some very creative compensation packages. The better the broker the more bells and whistles -- like loans and designer offices -- they are offered.
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. 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. February 1, 2005 Mindy Diamond	Customize Your Career As a result of broker dissatisfaction with the status quo, the increasing clout of top producers (at some firms) and the need for firms to keep successful reps happy, we're beginning to see quite a bit more flexibility.
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. August 1, 2005 Mindy Diamond	Comparison Shopping Here are several categories of information that can help guide a job seeker's evaluation of financial advisory firms.
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. 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.