What About Us?Jan 1, 2008By Halah Touryalai Schwab's Talk to Chuck campaign is tough to miss. Buses, billboards and television screens have all been plastered with Chuck Schwab's friendly face in... Fishing For TalentJan 1, 2008By Kristen French Financial-services firms are in fierce competition for good wealth managers, also sometimes known as client-relationship managers (CRMs). For the most... MySpace For Millionaires?Jan 1, 2008By Christina Mucciolo You won't find your ultra-high-net-worth clients trolling MySpace for dirt on their neighbors, or petitioning plebs to buy their private jets on Facebook.... Wealth Moves EastJan 1, 2008By Christopher C. L. Anderson Last year ushered in a new titleholder for the wealthiest man on earth: Mexican telecom tycoon Carlos Slim took that honor, knocking Bill Gates and Warren... What's The Plan, Stan?Jan 1, 2008By Anne Field Hunter McFarlin knew something was wrong. He quit his job selling life insurance at a small bank in Murfreesboro, Tenn., to start his own advisory practice... The Team Of Your DreamsJan 1, 2008By Mindy Diamond Finding teammates is no small task. You need to be compatible both personally and professionally; you need to have common goals and a common business... The Gift That Keeps On GivingJan 1, 2008By Kevin McKinley Sooner or later, you're going to get a call from a valued client that may put you in an uncomfortable situation. He will tell you that the Society for... Morgan Stanley’s Earnings Disaster: This Could Leave A MarkDec 19, 2007By John Churchill Morgan Stanley CEO John Mack opened the Morgan Stanley earnings call today by saying the firm’s quarterly results were “embarrassing.” Quite. But, he quickly pointed out that—excluding mortgage-related businesses... What Credit Crunch? Goldman Posts Weak-ish 4Q Results But Strong Fiscal 2007 PerformanceDec 18, 2007By Halah Touryalai Goldman Sachs closed out the year on a high note. Despite the credit crisis that has hurt many of its rivals on Wall Street, net income at Goldman increased 2 percent in the fourth quarter ... Ellyn McColgan, Late Of Fido, Joins Morgan StanleyDec 18, 2007By John Churchill Ellyn McColgan, once seen as a possible successor to Ned Johnson as CEO at Fidelity Investments, has been picked to take the helm of Morgan Stanley’s Global Wealth Management Group... Advisors Should Learn From Student Loan InvestigationDec 17, 2007By John Churchill A black social worker is suing Columbia University and Citibank for allegedly colluding to charge him and his peers exorbitant interest rates on their student loans.... Pandit takes Prince’s PostDec 11, 2007By Christina Mucciolo Citigroup shuffled its brass today and named Vikram Pandit the new CEO and a member of the Board of Directors. ... UBS Flushes $10 Billion, Gets $11.5-Billion InjectionDec 11, 2007By John Churchill UBS announced yesterday it would take an additional $10-billion write-down related to sub-prime loan investments this quarter. But it also announced it has received $11.5 billion in capital ... Uncle Sam To The Rescue!Dec 6, 2007By David A. Geracioti Shortly, Treasury Secretary Paulson and President Bush will announce their plan to freeze sub-prime loan rate “resets.” Is it any wonder why we like to call Democrats and Republicans, “Remocrats” and “Depub... Thain Recruits Colleagues in First Week at MerrillDec 4, 2007By Christina Mucciolo John Thain wasted no time calling on his friends during his first week on the job as the head of Merrill Lynch. The former NYSE Euronext CEO, Thain was appointed CEO ... Office SpaceDec 1, 2007By Anne Field It was a less than ideal situation. When Jeffrey Keefe left his job as a financial advisor with Ameriprise to start his own Portsmouth, New Hampshire-based... MERRILL-CHOVIA!Dec 1, 2007By John Churchill The third quarter was tough on all of the major brokerage firms as bets on mortgage derivatives came home to roost. According to an October 26 story in... MORTGAGE MAYHEM SCORECARDDec 1, 2007Kristen French Wall Street's titans made a terrible mess with their bets on the sub-prime mortgage market, and now they're paying for it dearly. Most of the major U.S.... Wachovia/A.G. Edwards: Marriage Is A Scary ThingDec 1, 2007John Churchill Wachovia/A.G. Edwards at a Glance Total client assets: $816 billion/$522 billion Number of advisors: 8,100/6,666 Average annualized revenue per advisor:... Wall Street Takes Your Health Seriously. Seriously.Dec 1, 2007Halah Touryalai They may not be ready for a market slow down, but many of Wall Street's big-shot firms are ready for, um, a flu pandemic. Late this summer, executives... Enough Is Not EnoughDec 1, 2007Halah Touryalai A group of Morgan Stanley reps involved in a race-discrimination suit are objecting to a proposed $16-million settlement, saying it's just not enough.... COMINGS & GOINGSDec 1, 2007Halah Touryalai State Street Global Advisors appointed Thomas Anderson as head of the Strategy and Research Group in its Intermediary Business Group. He will oversee... Art Planning, For Everyone's SakeDec 1, 2007By John Churchill One would think a client's collection of 50 cars, let alone 50 Corvettes, would be hard for a team of financial advisors and estate planners to ignore.... Quantifying Touchable AssetsDec 1, 2007David A. Geracioti Editor-In-Chief At an auction in mid-November, a poster for the movie Bride of Frankenstein, starring Boris Karloff, fetched $334,600. That's right a movie poster. Granted... Giving Odd Lots To A Good CauseDec 1, 2007By Kevin McKinley Financial Advisors may discuss charitable giving with clients for the same reason that most people choose to give in the first place: It's the right thing... Geri PellDec 1, 2007Kristen French Registered Rep.: What was the scariest moment in your career? Geri Pell: Jumping off a 130-foot cliff on a zip-line at a leadership/change retreat. RR:... The Fight Is OnDec 1, 2007By Karen Donovan When a client opens a brokerage account, he agrees that he won't sue you, the registered rep, in a court of law. In opening the account, the client agrees... Greg HopperDec 1, 2007David A. Geracioti Registered Rep. spoke with Greg Hopper about how the liquidity crisis has affected high-yield issues. RR: There has been a flight to safety, and the spreads... Party Like It's 1999Dec 1, 2007By Stan Luxenberg What are the chances that one of your funds will return 100 percent (or more) next year? Slim extremely slim. Funds rarely double in a 12-month period;... Getting Cozy With CanadiansDec 1, 2007By Halah Touryalai RBC's job on that front is far from done. The bank is giving Dain a makeover, and making major investments in the firm. In March 2008, Dain Rauscher will... Go TeamDec 1, 2007By Mindy Diamond Not everyone can be a great hitter, fielder and pitcher. That's why teams work. And not just in the realm of baseball. Over the last several years, there... Advisors Are Pro ChoiceDec 1, 2007By Christina Mucciolo So far in this young century, the brokerage industry seems to have successfully endured its run down the gauntlet. Let's see, there was that embarrassing... Registered Rep.'s 2007 Broker Report CardsDec 1, 2007
Business is looking good for reps: Over the last couple of years, they have become increasingly satisfied with their firms, on average. At least, that's... Merrill Lynch: Trouble In Paradise?Dec 1, 2007Christina Mucciolo Merrill Lynch at a Glance: Total client assets: $1.8 trillion Number of advisors: 16,610 Average annualized revenue per advisor $794,702 Pretax profit... Smith Barney: Living In A Chuck-Free WorldDec 1, 2007Halah Touryalai Smith Barney at a Glance: Total client assets: $1.6 trillion Number of advisors: 14,873 Average annualized revenue per advisor: $768,000 Pretax profit... |
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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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