Fee-ling GoodJun 1, 2004,By Kevin McKinley A recent article in The Wall Street Journal described a probe securities regulators have launched into fee-based accounts. I paid extra attention, because... Five Star Upgrade at A.G. EdwardsMay 1, 2004,Will Leitch For years, the biggest gripe A.G. Edwards reps harbored about their firm concerned the technology platform. Specifically, reps say, their workstations... E Pluribus UnumMay 1, 2004,By Hannah Shaw Grove and Russ Alan Prince As advisors set their sights ever higher, one of the most sought-after types of client is the family office, with advisor notions of the ideal falling... The Money DoctorsMay 1, 2004,By Henry M. Grix Doctors and financial advisors have a lot in common, and perhaps nowhere is this more evident than on late-night television. There, sandwiched between... Fair PayMay 1, 2004,By Matt Oechsli I know my assistant is getting paid far too much, mused Jerry. She is getting 2.5 percent of my production, making her the highest paid assistant in the... Whom Do You (Trust)May 1, 2004,By John Churchill The brokerage business is good or better, at least. The market is climbing slowly, firms are showing a profit and hiring again (albeit after massive layoffs),... Less Than Zero: Risk Management in a Life-or-Death EnvironmentMay 1, 2004,By Jason Van Steenwyk On Jan. 15, 2003, a phone call abruptly transformed me from a freelance contributing editor to Registered Rep. magazine into an infantry officer bound... It's All RelativeApr 1, 2004,By Anne Field But a lot had to happen before they could take their place in the driver's seat. For starters, the neophytes (who were in their 20s at the time) needed... The Baby Kabloomers!Apr 1, 2004,By Kevin McKinley The phrase helping people quit dredges up all manner of images, most of them having to do with substance-abuse therapy. For many advisors that's apt,... Trouble In The House That Purcell Built?Apr 1, 2004,By Joan Warner Back in 1981, when Philip J. Purcell helped engineer the odd-sounding merger of Sears Roebuck and Dean Witter, he had a vision. He knew the 401(k) legislation... Wealthy Investors Are More Like InstitutionsApr 1, 2004,David A. Gaffen In a prelude to its annual World Wealth Report, which tracks the investing and spending habits of ultra-high-net-worth investors, the consulting firm... Get Busy LivingApr 1, 2004,Matt Oechsli Wealth management teams have at least one thing in common with sharks: If they're not moving forward, they're in danger of dying. Last month, the first... Charm City's Firm Charming More RepsApr 1, 2004,Will Leitch Brokers looking for a home at a regional firm find their options quite limited these days. Many regionals have been swallowed up, or, in the case of Wachovia,... Morgan Ups Offers to Prospective CandidatesApr 1, 2004,David A. Gaffen With other firms rapidly improving their recruitment offers to top candidates, Morgan Stanley is guarding against getting left in the dust. Industry recruiters... A Measure of IndependenceMar 1, 2004,Will Leitch The rumors are proving true: The larger brokerage firms, including Raymond James and Wachovia Securities, are warming to the idea of letting reps dabble... Not the Boss of MeMar 1, 2004,By Anne Field Last May, Paul Sikorski earned his degree from the School of Intestinal Fortitude when he and his two partners opened their own broker/dealer for business.... The Great DivideMar 1, 2004,BY DAVID A. GAFFEN There aren't a lot of $50 million clients out there, so when one comes around, there's going to be competition to win his business. One such situation... The Happy DivorcéesMar 1, 2004,By Neal St. Anthony Andrew Duff, CEO of Piper Jaffray in Minneapolis, likes to tell a little story to his troops about why Piper's 1998 marriage to neighboring U.S. Bancorp... Primetime for Practice PurveyorsFeb 1, 2004,By Anne Field Attention shoppers: Those of you looking to purchase a financial advisory practice should be prepared for an arduous search. For every practice sporting... Here Comes the BearJan 1, 2004,By Gregg Wirth Eric Williams, a retail broker at Morgan Stanley, was minding his own business when the phone rang one Friday afternoon 18 months ago. Williams says he... Smith Barney Alters Payout GridJan 1, 2004,David A. Gaffen Smith Barney is altering its compensation system for 2004, with the main goal being to simplify its payouts and make them more revenue-neutral. The new... The Problem with Upfront MoneyJan 1, 2004,By Nick Ferber If my recent experience in placing a wirehouse broker at a new firm is any indication, the ripples from the securities industry scandals are starting... Step Up to the MikeJan 1, 2004,By Anne Field You'd never know it to hear him speak now, but Joe Saul-Sehy once suffered a severe stutter one that earned him the grade-school nickname Jackhammer.... Money Talks. Do You Need a Translator?Jan 1, 2004,John Churchill It's a testament to the increasing complexity of the advisory business: Many advisors people whose very living depends on their ability to track the ebbs... Spare Us the CutterDec 1, 2003,By Will Leitch If you don't look too closely, you might think the securities industry is in a golden age. After all, the thing that matters most profits is up. Way up.... Group TherapyDec 1, 2003,By Anne Field When it comes to developing new business, Tom Croft has a foolproof weapon. Six years ago, Croft, a rep with Edward Jones in Santa Rosa, Calif., joined... Firing ClientsDec 1, 2003,By Will Leitch It is at once the simplest and most complex question a rep can ask: How many clients are too many? Clearly, a rep cannot service an unlimited number of... Brokers without BordersNov 1, 2003,By Bennett Voyles Borderline, feel like I'm going to lose my mind, Madonna sang in one of her earlier hits, and many brokers share her mental anguish perhaps none more... The Art of Moving a PracticeOct 1, 2003,By Anne Field A year ago, during a honeymoon-inspired reverie, Jon Moore and his new bride, Justan, hatched a plan for their coming life together. As soon as they could,... When Your Day Job Is Not EnoughAug 1, 2003,By Anne Field More reps are moonlighting these days to fill the income gap and to fulfill their dreams.... Survivor's MarketJun 1, 2003,By Ross Tucker What makes a broker successful? Age, experience, years at one firm, education--the more of all those things, the better. One other helpful hint: It's not where you work, but how you work that is important.... Stages: Marriage and the Financial AdvisorJun 1, 2003,By Susan L. Hirshman If your client is tying the knot, you should move aggressively to make sure he stays yours--and become theirs.... Endpiece: From the Mouths of BrokersJun 1, 2003,By Will Leitch In the Spitzer Files (evidence released with New York attorney general Eliot Spitzer's $1.4 billion settlement with Wall Street), brokers say the darnedest things about Jack Grubman.... The New Smith BarneyJun 1, 2003,By David A. Gaffen Can Sallie Krawcheck and Tom Matthews restore confidence in Smith Barney and create a successful model for the 21st century retail brokerage?... Think Big about Small NichesJun 1, 2003,By Anne Field Reps who organize their practices around a specialty do significantly better than generalists.... |
Current Issue Whole Lotta LoveBy Stephen Webster These days the wealth management divisions are the shining stars of wirehouse firms. 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
|
| Back to Top |
