Registered Rep. teams up with Fortune magazine to present a look at this year’s Top 50 wirehouse advisors, Top 50 independents, and Top 50 RIAs. Rankings based on assets under management. Read More
The development and distribution of financial products has become a new world order. Momentum Partners, LLC and Registered Rep magazine have joined forces to help companies identify the opportunities created by these changes and to capitalize on them. Read More
Merrill Lynch executives Dan Sontag, head of Americas Wealth Management, and John Hogarty, COO, released the 2009 Financial Advisor Comp Plan yesterday afternoon. ...
Mark DeCambre and Kaja Whitehouse published a story today in the New York Post titled: “Ex-SEC Boss: Not My Fault,” which opened a window onto the thoughts of those charged with regulating Wall Street. ...
Some independent b/ds have already benefitted from the damage done to the reputations of wirehouses in the credit crunch by gaining assets and advisors....
As the market dips yet again following another fitful rally, reality has been setting in for most Americans: We’re in a recession—and the gilded age of credit-fueled lifestyles and profits is over. ...
After an absolutely dizzying few weeks on Wall Street—which have included a chain of bank failures and near failures, several uncertain rescue attempts and the largest one-day point drop in the Dow Jones Industrial Average ever—financial advisors and investors are exhausted. ...
Dallas: "Even though I feel like we're reacting non-stop to incoming calls," says David, "It seems that every time I'm having a conversation with my better clients—and they're not usually the ones calling in—they're inquiring about how I'm doing, but not giving me any referrals."...
Nashville: "I'm getting killed, my fee-based revenue is way down, my deferred stock that I've been planning on retiring on is in the toilet. And, with the non-stop incoming calls, I don't have the time or energy to meet with my clients," moaned Sam. ...
In our 18th annual Broker Report Card survey, wirehouse FAs say they are fed up with management ruining their excellent franchises and platforms. Will the great advisor diaspora begin?
Cannon’s Concepts For Professionals: A Complete Library of Essential Financial Concepts
This reference book was updated for 2008 and now contains over 900 pages of information on essential financial concepts and wealth management strategies for your work with wealthy clients. The book not only contains brief summaries of each topic, but it also contains many useful diagrams and charts that can be used with clients when explaining difficult financial concepts. The information in this book meets current FINRA/NASD guidelines....
