May 1, 2006,
By Mindy Diamond
Supportive work environments and the ability to work out their own schedules...
May 1, 2006,
John Churchill
UBS has hired a prominent black Smith Barney broker.he move came as UBS was negotiating settlement of a class-action suit brought by two black employees who alleged that the firm has systematically discriminated against blacks...
May 1, 2006,
By John Churchill
Piper Jaffary is the latest wirehouse deal for a regional...
May 1, 2006,
Kristen French
Financial advisors have the best jobs after college professors and software engineers, according to a recent research report from Money magazine and Salary.com....
May 1, 2006,
BY HALAH TOURYALAI
A labor lawyer, armed with depression era law that was originally intended to protect blue-collar workers, is threatening Wall Street's age old compensation structure. Do you deserve to be paid overtime? Sick of paying your assistants salary?...
May 1, 2006
The 26th annual Outstanding Broker Awards honors 10 of the most able, yet charitable, financial advisors in the country...
May 1, 2006
James Shorris has been promoted as the NASD's executive vice president and head of enforcement. Shorris joined the NASD in November 2003 and has been...
May 1, 2006,
By Anne Field
Savvy investors know how to keep customer complaints down and profit from those they can't...
Apr 1, 2006,
By Mindy Diamond
Wirehouse brokers that don't bring in much business may do better if they readjust their career sights...
Apr 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...
Apr 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?...
Apr 1, 2006
ING has named Catherine Bonneau chief operating officer of its independent broker/dealer, Prime Vest Financial Services, where she will be responsible...
Feb 1, 2006,
By Mindy Diamond
Superstar brokers are receiving unimaginable compensation to switch firms. And lesser performers are asking recruiters to negotiate record transition...
Feb 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...
Feb 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...
Feb 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...
Feb 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...
Feb 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...
Feb 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...
Feb 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...
Jan 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...
Jan 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...
Jan 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...
Jan 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...
Jan 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...
Jan 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...
Jan 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...
Jan 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,...
Jan 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...
Jan 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...
Dec 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...
Dec 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...
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....
Dec 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...
Nov 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...
Wall Street Wage Fight