Marketing: Blogger BrandingSep 1, 2008By Tami Kamin-Meyer When 25-year-old Russell Bailyn embarked on his career as a wealth manager in New York City with Premier Financial Advisors three years ago, his older brothers thought he needed a marketing tool that would differentiate him from the pack.... Case Study: SMAs TalkSep 1, 2008By John Kador An advisor turns to outside separate accounts manager to help him turn a sophisticated prospect with tax-management issues into a client.... Small Business Advisor: The SeniorpreneurSep 1, 2008By Mollie Neal More likely than not, you will soon have some seniorpreneurs on your client list.... Editor’s Letter: A Near Death Experience That Isn't OverSep 1, 2008David A. Geracioti Editor-In-Chief In trying to fathom the amount of capital that financial firms have destroyed since last summer, I called an acquaintance who used to work at Merrill Lynch.... Cold CallSep 1, 2008Halah Touryalai Brodie L. Cobb,Presidio Financial Partners, San Francisco... Comings & GoingsSep 1, 2008Halah Touryalai LPL Financial appointed as Chief Financial Officer Robert Moore, who will report to chairman and CEO Mark Casady.... Whole Lotta LoveSep 1, 2008By Christina Mucciolo These days the wealth management divisions are the shining stars of wirehouse firms.... A Seller's MarketSep 1, 2008BY JOHN CHURCHILL Across the industry, one thing is for sure: The market for financial advisors is hot.... Are Fund Fees Excessive?Sep 1, 2008By Stan Luxenberg Plaintiffs' lawyers periodically charge that mutual funds impose excessive fees. But costs in the industry have been declining steadily.... The Eager AchieverSep 1, 2008Christina Mucciolo Mary Deatherage... The Smart WorkerSep 1, 2008Christina Mucciolo Howard S. Lorch... The Executive's AdvisorSep 1, 2008Halah Touryalai On the first morning of his run as a trainee for Merrill Lynch, Brian Hetherington remembers standing near his desk unsure of what to do next. I got there... What Is Your Practice Worth? Plenty—If You Are Fee-BasedAug 25, 2008By John Churchill Considering selling all or part of your book? Buyers don’t seem to have a preference for a business model—whether you are an investment manager, say, or a financial planner; what they do care about are present and future revenue streams. ... Politics Enters IndyMac AftermathAug 21, 2008By John Churchill The California Attorney General, Edmund “Jerry” Brown, is considering a request by 51 former IndyMac bank employees to investigate New York Democratic Senator Charles Schumer’s role in the collapse of IndyMac Bank. ... Putnam, Janus Pay For Market Timing Scandal—But Did Anyone Really Lose Any Money?Aug 20, 2008By Stan Luxenberg In the fall of 2003, newspaper headlines blaringly announced the arrival of the mutual fund market-timing scandals. ... OUTSTANDING SALES ASSISTANT NOMINATIONSAug 19, 2008
The editors of Registered Rep. are undertaking a comprehensive survey of sales assistants, and to complement our disclosure of the results, which will appear in our October issue, we would like to profile a number of outstanding SAs. But we need your help! We are counting on nominations of sales assistants from the financial advisors with whom they work to make our selection.... Ladies Get Millions In Smith Barney Discrimination CaseAug 15, 2008By John Churchill A federal judge gave final approval to a $33 million class-action settlement on Wednesday between Citigroup and current and former female financial advisors. ... Ameriprise Buys H&R Block RepsAug 13, 2008By Halah Touryalai Ameriprise Financial is 900 advisors stronger after it purchased H&R Block Financial Advisors (HRBFA) for $315 million in cash yesterday. ... The News Is Ugly At UBS; Clients Flee; 2Q Earnings Are Worse Than Expected; Reorg StrategyAug 12, 2008By John Churchill As you know, UBS reported a larger-than-expected second-quarter loss of $327 million today. Contributing to the dismal result was another $5.1 billion in U.S. mortgage related write-downs.... The Bear TalksAug 4, 2008By Nancy N. DiCostanzo It was only a matter of time before a book about Bear Stearns’ demise hit the bookshelves. ... 60 SecondsAug 1, 2008Kristen French Craig has been trading commodities for over 20 years, and has posted long-term annual average returns of around 20 percent. Since April 2006, when he... Comings & GoingsAug 1, 2008Halah Touryalai Woodbury Financial Services, an independent broker/dealer and a subsidiary of The Hartford Financial Services Group, named Scott Carlson senior vice president... What’s Next (For IBD Recruiting)?Aug 1, 2008By Halah Touryalai An SEC proposal and an administrative law judge say client information belongs to the b/d, not the rep. What now... Career Moves: Graying GracefullyAug 1, 2008By Mindy Diamond Some firms are making it easy for you to create a comfortable and well-structured succession plan.... COLD CALLAug 1, 2008Halah Touryalai Jan Schalkwijk, JPS Global Investments, San Diego.... Wachovia Could Sell Retail Brokerage: AnalystsJul 28, 2008By Kristen French After a posting record $8.9 billion quarterly loss in the second quarter, Wachovia could sell its mutual fund business, securities brokerage or its Northeast and Texas branches, according to analysts. But Wachovia says the brokerage isn’t for sale. ... UBS Sued By N.Y. AG For ARS FraudJul 24, 2008By Halah Touryalai UBS is facing the first nationwide lawsuit regarding auction-rate securities compliments of the New York Attorney General, who sued the firm for securities fraud.... Wachovia Earnings Down; Stock Up 27 Percent In Two DaysJul 23, 2008By John Churchill Wachovia, now with A.G. Edwards under its wing, unloaded a whopper of bad news yesterday, reporting a second quarter loss of $8.9 billion, or $4.20 per share; that’s nearly three times more than some analysts expected. ... Woo-hoo! Citigroup Only Loses $2.5 billion In 2Q; Client Assets Flee Smith BarneyJul 18, 2008By John Churchill Citigroup reported its second quarter earnings today, beating analyst expectations by losing far less money than anticipated. ... Merrill Posts Huge 2nd Quarter Loss; Retail Less Bad Than Principal Trading and Investment BankingJul 17, 2008By John Churchill Today, Merrill Lynch provided a damper to the financial sector rally that has occurred over the past two days by reporting even worse quarterly earnings than analysts expected. The firm announced a loss of $4.7 billion in the second quarter, it’s 4th consecutive quarterly loss, driven by $9.4 billion in losses related to CDOs, ineffective hedges against those CDOs and residential mortgage exposure. ... Bove to Wachovia: Hire PurcellJul 2, 2008By Kristen French Ladenburg Thalmann analyst Richard Bove today suggested that Morgan Stanley’s former CEO, Phillip Purcell, who was ousted after a nasty flap with a group of dissident shareholders, should be named the new CEO of Wachovia Bank. ... When To Hold 'Em, When To Fold 'EmJul 1, 2008By Nancy N. DiCostanzo Already cash-strapped and struggling under the weight of sub-prime mortgage debts, Wachovia could be forced to shell out big bucks. ... The Problem With SuccessJul 1, 2008By Christina Mucciolo Independent b/ds, with razor-thin operating margins, need to grow to remain profitable. Yet they must also maintain that small company feel. NEXT Financial Group walks the razor’s edge.... Morgan's MagicJul 1, 2008By John Churchill Dean Witter who? Gorman and his handpicked team have transformed Morgan, making it one of the hottest brands on the Street.... The GraduatesJul 1, 2008By Halah Touryalai Hiring experienced advisors with handsome books of business has its benefits, but bringing on hungry young advisors can save you upfront money, culture clashes and all the headaches that accompany today’s fierce recruiting wars for top talent. ... |
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In This Issue: February 2012
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Got the Social Media Spins? Help Is On The Way
A bunch of social media services have emerged to help financial services firms comply with regulations and make the most of social networks to build business. They've got big plans for 2012.
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