Succession BluesApr 1, 2006,By Anne Field An advisor's problem finding someone to eventually take over his business comes down to asking too much for too little... Keeping Up With the JonesesApr 1, 2006,By John Churchill Edward Jones has a unique approach, an 84 year tradition - and a host of challenges. Can Jim Weddle bring the company into the 21st century and preserve its core strengths?... Making Time (and Money) for EveryoneFeb 1, 2006,By John Churchill Ric Edelman's firm puts up incredible numbers. Edelman Financial Services of Fairfax, Va., has $2.75 billion in assets under management and counsels 7,500... Comings & GoingsFeb 1, 2006
Jerry Brown, Terry Kelley and Mark Strynar have joined Morgan Stanley with $178 million assets under management. Brown and Strynar were formerly senior... Passion PaysFeb 1, 2006,By Mindy Diamond Superstar brokers are receiving unimaginable compensation to switch firms. And lesser performers are asking recruiters to negotiate record transition... Both Sides NowFeb 1, 2006,By Kristen French Our interests may not always be the same as yours. Imagine telling your clients that. And then imagine saying 20 minutes later, But now that we're discussing... Hire RightFeb 1, 2006,By Anne Field When Eric Brotman started the Brotman Financial Group, a small advisory firm in Timonium, Md., three years ago, he required job applicants to take personality... Rep's HonorFeb 1, 2006,By Russ Alan Prince Simply put, from a client's perspective, wealth management consists of a financial advisor providing solutions to financial and related legal issues and... Dinosaurs Roaming the EarthFeb 1, 2006,By Kevin Burke If you thought you had it bad calls unreturned, prospective clients canceling meetings pity the mutual fund wholesaler. First, many more are out of work... Hired and Fired UpFeb 1, 2006,By Kevin Burke The biggest brokerage businesses are showing that even in a modest market upswing they now have in place a strategy for delivering stronger and steadier... Comings & GoingsJan 1, 2006
James Hays has joined Wachovia Securities and will be named president of the firm's Private Client Group in mid-January 2006. Hays succeeds James Donley,... Too Hot to TouchJan 1, 2006,By Kristen French The recent acquisitions of Legg Mason's retail brokerage by Citigroup and Advest by Merrill Lynch brought an interesting recruiting problem into high... The Good ProblemJan 1, 2006,By Anne Field This month's Fix My Business column focuses on an industry veteran who faces what many other successful advisory practioners face: a bulging practice... Legg Slims Citi Swap RanksJan 1, 2006,Kristen French A bunch of old Citigroup asset managers will soon be without jobs when their funds are folded into Legg Mason funds. After Legg Mason and Citigroup closed... More, More, MoreJan 1, 2006,By John Churchill Faced with growing competition from other advice providers and fewer inherent advantages in the way of products and platform capabilities, wirehouse brokers... A Level Playing FieldJan 1, 2006,By Kristen French Kochis Fitz was once a small financial-planning shop that tried to win clients with $250,000 to invest. But the registered investment advisor has emerged... Planning a Safe Journey to Life at a New FirmJan 1, 2006,By Mindy Diamond This month, many of us will think that it's time for a fresh start, like a new job then quickly forget about it because we're afraid of all that's involved... The Winner's CurseJan 1, 2006,By Halah Touryalai There is trouble brewing in independent broker/dealer-land. Operating costs are rising, recruiting efforts for advisors are starting to resemble an arms... Help WantedJan 1, 2006,Kristen French Securities Industry employment topped the 800,000 mark in November for the first time since February 2002, The gain of over 5,000 was the best monthly... Balancing ActJan 1, 2006,By Kevin Burke Part of the fallout from the regulatory onslaught of the past three years has been a drastic overhaul in how mutual funds are sold. Regulators exposed... Branch Manager Recruiting TipsDec 1, 2005,By Mindy Diamond In a branch office, reps are not the only ones who depend on their sales skills to increase bonuses. Branch managers are evaluated upon how successfully... Finding Future ClientsDec 1, 2005,By Anne Field About a year ago, after the death of a longtime client, who was also a good friend and contemporary, John Moore examined his account roster and made an... Morgan Brokers Still Heading for ExitsDec 1, 2005,By Kristen French After 11 good years at Morgan Stanley, and with close to $100 million in client assets, one west coast-based broker, who was a member of Morgan Stanley's... The Year of the Turnaround?Dec 1, 2005,By John Churchill According to Chinese astrology, 2005 is the Year of the Wood Rooster — a year marked by prosperity, both spiritually and materially. Under this zodiac animal system, much of the world's population should have experienced a surge of optimism and adventurousness — in addition to prudent money management (seriously) — brought forth by the rooster, considered an honest, intelligent and brave bird.... Going All the WayNov 1, 2005,By Christopher O'Leary Across the country, registered rep employees of national broker/dealers daydream of chucking it all the scripted days, the morning squawk box and going... You're Worth So Much MoreNov 1, 2005,By John Churchill Clients might not agree, but there's rising evidence that advisors are not charging enough for their services. According to Pricing Strategies for Maximum... In Good CompanyNov 1, 2005,By Mindy Diamond Registered reps serving multiple high-net-worth clients typically benefit from a benign domino effect. In many cases, an affluent-focused practice has... Elusive LoyaltyNov 1, 2005,By Hannah Shaw Grove and Russ Alan Prince It's a serious conundrum for financial advisors: Their success hinges on their ability to cultivate loyalty in their most affluent clients, but many are... Merrill Carrot to Advest RepsNov 1, 2005,By John Churchill Merrill Lynch has proffered retention packages to newly acquired Advest Group's financial advisors, and according to industry observers, the packages... The Money SqueezeNov 1, 2005,By John Churchill 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... Changing GearsNov 1, 2005,By Anne Field For this second installment of Fix My Practice (the first one appeared in the September 2005 issue), we talked to an insurance industry veteran who recently... Creating an Escape PlanNov 1, 2005,By Christopher O'Leary Certainly, going indie has a lot of appeal. And there are lots of stories of happy former wirehouse brokers who have flourished on their own. But it doesn't... A Plan for All SeasonsNov 1, 2005,By Daniel L. Daniels, Esq., David T. Leibell, Esq. and Russ Alan Prince Anyone who has ever watched a relay race or a football game knows that a lot can go wrong during a handoff. The same is true when control of a business... A Shopping Allowance: The Newest Recruiting ToolNov 1, 2005,By Kristen French If you need more proof that competition for top financial advisors is growing more intense, look no further than First Allied Securities. The San Diego-based... Reshuffling the DecksNov 1, 2005,By Kevin Burke The biggest brokerage houses on Wall Street are giving themselves a makeover. Their reinventions, in some ways, are part of the usual ebb and flow between... |
Current Issue Humbled But (Somehow) TriumphantBy Kristen French With reporting from John Churchill and Halah Touryalai Rescued by Bank of America from its near-death experience, Merrill Lynch is still managing to set the industry standard. advertisement Recent NewsREP. RESEARCHadvertisement BOOKS
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. Click here. Bookstore
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