Comings & GoingsOct 1, 2007,Halah Touryalai Industry consultant Mark Tibergien has joined Pershing Advisor Solutions as CEO and a member of its executive committee. Prior to joining Pershing, Tibergien... U5 HazardOct 1, 2007,By Karen Donovan Brokerage firms can say anything they like on a departing broker's Form U5, even if it's defamatory in nature and untrue. That's because the New York... Banking on BrokerageOct 1, 2007,By Susan Konig Over the years, bank-based brokerages haven't posed much of a threat to Wall Street firms' pursuit of high-net-worth individuals. Most bank brokerages... How to Swim UpstreamOct 1, 2007,By Anne Field Three years ago, Kalita Blessing set out on a mission. She was determined to rev up her bottom line. Blessing, a principal with Quest Capital Management... The Courting GameOct 1, 2007,By Mindy Diamond Today's intensely competitive recruiting environment demands that branch managers spend a lot of time and energy wooing prospective hires. But too many... Debbie WagnerOct 1, 2007,Christina Mucciolo When Richmond native Debbie Wagner came into work one day in early March, there were signs, banners and streamers everywhere; there were flowers on her... Joan Joni SchultzOct 1, 2007,John Churchill When Joni Schultz interviewed for the sales assistant position Andrew Burish was looking to fill, she just had one question: Why had he gone through seven... Grace SimmonsOct 1, 2007,Kristen French Grace Simmons is like a family member and a friend to client and colleagues, say her superiors and one that can be counted on. Grace is very easy to like,... Overtime Finally Pays OffSep 13, 2007,By Halah Touryalai In January, Smith Barney brokers may be the first to cash in on overtime lawsuits that have been all the rage over the last two years. A Northern District of California judge approved the allocation of $98 million in settlement money, as well as the schedule for carrying out the settlement. ... Top 100 Advisors In AmericaSep 7, 2007
A PDF of our top 100 wirehouse advisors list, ranked in order of assets under management.... Comings & GoingsSep 1, 2007,Halah Touryalai Advanced Equities Financial Corp. hired Keith E. Gregg as president and co-CEO of its independent broker/dealer, First Allied Securities. Gregg, former... Meet Your New BossSep 1, 2007,By Mindy Diamond The last two years have seen a rash of acquisitions in the broker/dealer world, and more are sure to come. It's no secret that the resulting upheaval... Ryan JacobSep 1, 2007,Kevin Burke Ryan Jacob, the dot-com portfolio manager notorious for having lost 90 percent of client assets during the market collapse in 2000, has come full circle.... Teaming Up For High PerformanceSep 1, 2007,By Matt Oechsli Many years ago our research on the affluent led us to investigate wealth management teams. We turned our focus to teams simply because it became obvious... Alan Greenspan, Back In The DugoutSep 1, 2007,Christina Mucciolo The 81-year-old former chairman of the Federal Reserve recently signed on as a senior advisor at Deutsche Bank (at an undisclosed salary). Only time will... The Rocky Road to IndependenceSep 1, 2007,By Anne Field When Holly Hunter decided to leave the wirehouse she'd been with for five years, she knew the going would be tough. But she had no idea exactly how tough.... Cold CallSep 1, 2007,Kevin Burke Registered Rep.: How'd you end up in Hawaii? John Robinson: My wife is from Hawaii. We married in 1996, and moved to her hometown of Honolulu. It was... Sell, It’s The Democrats!Sep 1, 2007,By John Churchill The Party of Roosevelt is talking a lot about taxes these days, about fairness and about how fat-cat hedge fund managers pay taxes at lower rates than... Fee(ling) HighSep 1, 2007,Christina Mucciolo Investment advisor reps raised their fees last year for the first time since 2002. This nudged them up to a median 1 percent on assets from 0.98 percent... McColgan Abruptly Leaves FidelitySep 1, 2007,Christina Mucciolo In August, after 17 years with the firm, Ellyn McColgan stepped down as president of Fidelity Investments distribution and operations, which includes... What Growing Pains?Sep 1, 2007,Halah Touryalai It's good to be an investment advisor rep these days actually for at least the next five years. According to a Pershing Advisor Solutions LCC and Moss... The Big ShiftSep 1, 2007,By Stephen Gresham Is your practice retirement-ready? As you may have heard, in the coming years nearly 80 million Americans will bid farewell to their careers. In so doing,... The Top Producer SyndromeSep 1, 2007,By Dennis Gallant The talent wars for so-called top producers have gotten stiffer in the past two years, and don't show any sign of abating. Of course, who qualifies as... Stand by the ManSep 1, 2007,By Christina Mucciolo It's a fact: The biggest financial advisors, in terms of assets under management, are wirehouse advisors. Actually, when we began this top advisor list... Merrill Grabs Advisors Producing $5.5 million From Rival UBSAug 13, 2007,By Halah Touryalai Merrill Lynch won big last week in the aggressive industry-wide recruiting war for top advisors. The firm recruited away from UBS a team of three producers, and their support staff, with $2.5 billion in assets under management and $5.5 million in trailing 12-month production.... Comings & GoingsAug 1, 2007,Halah Touryalai Lincoln Financial Group's chairman and CEO, Jon A. Boscia, has announced his retirement from the company effective Sept. 1, 2007. The company's board... You've Got CompanyAug 1, 2007,Kristen French The securities industry has been doing an awful lot of hiring lately. June 2007 saw an increase of over 10,000 new jobs in the industry the biggest increase... Wanted: YouAug 1, 2007,By Halah Touryalai In the week following the implosion of Brookstreet Securities, a disaster caused by massive margins calls on highly leveraged CMO derivative investments... Thinking Big in Small TownsAug 1, 2007,By Mindy Diamond For top-producing wirehouse advisors in mid-sized cities (say Baltimore, Maryland or Salt Lake City, Utah), the career-change opportunities can sometimes... The DelegatorAug 1, 2007,Halah Touryalai Stephan Cassaday, Cassaday & Company Firm: Royal Alliance City: McLean, VA Established: 1993 AUM: $263 million Number of Clients: 265 Education: Radford... The Family GuyAug 1, 2007,Christina Mucciolo Michael McNamara, McNamara Financial Services Firm: Commonwealth Financial Network City: Marshfield, Mass. Established: 1987 AUM: $306 million Number... Advisor to the MassesAug 1, 2007,Halah Touryalai Trudy Haussmann, Haussmann Financial Inc. Firm: Securities America City: Newport Beach, Calif. Established: 1990 AUM: $465 million Number of Clients:... Cold CallAug 1, 2007,Christina Mucciolo Registered Rep.: Strangest request you ever received from a client? Helene Robertson: In 1982, a retired schoolteacher asked me to find a mutual fund... America's Top 100 Independent AdvisorsAug 1, 2007
Name Firm (B/D) City Est. AUM in MM Yrs. in Biz Business Description/Specialty 1 Ron Carson Carson Wealth Management Group (LPL) Omaha, NE $1,560 24 Holistic... The Ten to Watch '07Aug 1, 2007,By David A. Geracioti Creating lists such as this can be a notoriously capricious business. For starters, why only 10 people? Good question. But it forces a silly answer: The... |
Blogs & OpinionGet the latest from Registered Rep. Editor-in-Chief David A. Geracioti on his blog Von Aldo.
Get the latest from Registered Rep. Managing Editor Kristen French on her blog The Reformation.
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