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Trust & Estates
Trusts & Estates is the monthly journal for estate planning and wealth management professionals.
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AMERICA'S TOP ADVISORS

America's Top Financial Advisors

Outstanding Advisors

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.
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Momentum Partners, LLC & Registered Rep

Momentum Partners, LLC & Registered Rep


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.
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Top Story

Dodd to Introduce Financial Regulatory Overhaul Bill Monday, without Republican Support  

Mar 11, 2010 11:01 AM, By Kristen French

Senator Christopher Dodd plans to introduce his financial regulatory reform bill Monday without Republican support. He’s still hopeful that negotiations with Senator Bob Corker (R.-Tenn.) will succeed, however, he said in a statement Thursday morning. Previous negotiations with Senator Richard Shelby (R.- Ga.) fell apart last month. ...

Rep.TV

Preparing Heirs for Inheritance 

Feb 3, 2010 3:27 PM

Most heirs fire their parents’ advisors after they’ve received an inheritance. Here are some inheritance planning tips that will ensure a successful transition and help you keep the heirs’ business....

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News

New RIA Custody Rules In Force Friday 

Mar 10, 2010 1:47 PM, By Jerry Gleeson

New rules aimed at preventing registered investment advisors from pulling off ponzi schemes take effect Friday. Among other things, RIAs firms that hold clients assets in custody will be required to undergo annual surprise audits, conducted by independent public accountants. ...

Client Shoots Clean Dallas Broker Over Bad Bonds  

Mar 9, 2010 11:10 AM, By Kristen French

You know things are getting hairy when clients starting turning guns on their financial advisors. A disgruntled client opened fire on a financial advisor and his son in Dallas, Texas Monday afternoon. According to a colleague of the financial advisor, the gunman, Robert Mustard, 60, was unhappy about a bad investment he made in some Fannie Mae bonds. ...

Washington Not Swayed By Mainstream Media On Fiduciary Standard. What About Clients?  

Mar 5, 2010 1:05 PM, By Kristen French

The mainstream press on the left and the right is lately beating the drum for the fiduciary standard. It’s hard to know whether this kind of media attention will change any minds in Washington, but it could certainly influence brokerage clients, many of whom have already been migrating to investment advisers who act as fiduciaries on the RIA side of the business. ...

New Social Networking Site Targets FAs  

Mar 3, 2010 12:05 PM, By Kristen French

A new website is trying to cash in on the social networking craze and resolve some of the thorny regulatory questions that social networking sites raise for financial advisors. ...

Registered Rep. News Archive...

Newsletters

Wealth Management

From Wirehouse To RIA 

Mar 10, 2010 5:12 PM, By Anne Field

As more wirehouse reps decide to ditch Wall Street and head to independent RIAs, they’re finding there are a number of possible routes to follow. ...

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Practice Management

Five Affluent Sales Mistakes 

Mar 4, 2010 12:45 PM, By Matt Oechsli

A lot of veteran advisors in today's volatile environment - don't understand today's affluent investor. Here are some sales mistakes to watch out for. ...

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The Insurance Letter

Proposed Legislation Should Boost Retirement Annuity Sales 

Jan 19, 2010 12:58 PM, By Alan Lavine

Proposed legislation could help encourage your clients to consider rolling over 401 (k) plans into retirement annuities. The legislation, Senate bill 2832, would amend the Employee Retirement Income Security Act of 1974, to focus greater awareness on lifetime income retirement planning. ...

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Branch Management

Branch Managers Matter, Especially In Novice Training 

Mar 10, 2010 2:49 PM, By Andre Cappon, Guy Manuel, Stephan Mignot*

In all financial advisory sales forces—from stockbrokers to insurance agents to financial advisors and planners—trainee or “novice” producers go through an early career phase of three to four years, during which they learn the business, build a clientele and prove to themselves and to their employer that they are ready for a challenging but rewarding career....

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The Next Move

Brought to you by TD Ameritrade

Giving Back to the Community 

Mar 11, 2010 4:14 PM

When it comes to building trust with clients, what better way to do it than through outside involvement in the community...

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Current Issue

Registered Rep 

Cover

Nickels And Dimes

By John Aidan Byrne

Helping small savers plan their financial futures, without going broke.

Clients, The New Breakaways

First there was the breakaway broker. Now RIAs are grabbing another kind of breakaway, the disgruntled wirehouse client.

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Von Aldo

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Featured Book

The American Dream Planner 

The American Dream Planner is designed to develop and stress- test wealth accumulation, management and transfer choices. The software accepts unlimited investments, tax deferred accounts, real property and business interests, income and expenses. Plans can include Trusts (Bypass, Marital, ILITs, CRTs, GRATs), SCINs, marketability and minority interest discounts and other techniques with income, gift and estate tax calculations. Data rich and interactive pie, line and bar charts and tabular data and mail merge provide a source for customizable reports. All versions can share encrypted data. The Personal Edition is intended for individuals with current estates of less than $3-5M. ...


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