E&O AND USep 1, 2004,BY JASON VAN STEENWYK Louis Stanasolovich, a financial planner with Pittsburgh-based Legend Financial Advisors, recently had to scramble to find errors-and-omission insurance... Recruit or Reboot?Sep 1, 2004,By André Cappon As the stock market is recovering, sales force growth is returning to the top of the management agenda in retail securities firms and life insurance companies.... Handcuffs Made of GoldSep 1, 2004,By John Churchill It's a familiar occurrence these days brokers fighting their former employers over money held in deferred-compensation plans. A group of former Smith... Of Myths and MovingSep 1, 2004,By Mindy Diamond A large number of brokers labor under a group of myths and misconceptions that keep them from managing their careers effectively. They may want or need... Where the Women At?Aug 1, 2004,By John Churchill Stephanie Villalba is a high-ranking Merrill Lynch executive, but on a recent business trip, she found herself in a more humble position. While flying... Thinking Small (In a Good Way)Aug 1, 2004,By Anne Field Harlan Kappel isn't a typical financial planner. For starters, Kappel, with American Express Financial Advisors in Dallas, declines to advise clients... The Cost of (Financial) Malpractice InsuranceAug 1, 2004,David A. Gaffen There were a number of reasons why Melinda Stephens, a nine-year veteran of the securities industry based in Los Angeles, switched broker/dealers last... Prudential Deferred Comp Under Fire AgainAug 1, 2004,John Churchill In recent years, Prudential Securities has fended off numerous challenges to the legality of its deferred compensation plan, known as MasterShare, but... More Rich People to ServeJul 1, 2004,David A. Gaffen The good news is, there are more high-net-worth individuals than ever. As always, though, there's a catch. Those people want more of everything more expertise,... The Line Which Is DottedJul 1, 2004,By Kirsten Silencia A-B-C. A: Always. B: Be. C: Closing. Always be closing, always be closing. So go the not-so-gentle words of wisdom from Alec Baldwin's character in Glengarry... Alone In a CrowdJul 1, 2004,By Bill Singer The tale of Gina Guzzone is one that would do Franz Kafka proud. All the elements are there the mazelike system of bureaucratic roadblocks, the surreality... The Cutting EdgeJul 1, 2004,By Alan Plummer There's no doubting that technology has made the lives of independents easier. The ease with which computers and other devices can be untethered from... When Big Means BadJun 1, 2004,By John Churchill One problem with focusing on big-game clients is that sometimes they grow too big a fact one West Coast wirehouse broker learned the hard way. The client... 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... Full Service Carries the DayJun 1, 2004,By David A. Gaffen Daniel Yasharel learned his most important lesson about the financial advisory business even before he became a full-fledged member of it. It was 1992,... Indie ExistentialismJun 1, 2004,BY WILL LEITCH Freedom has its price, the saying goes, and perhaps nowhere is that price more frequently calculated than in the brokerage industry. Year after year,... 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... 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),... 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... 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... 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... 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... 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... 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... 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... 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... 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,... 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... 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... 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.... 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... 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.... |
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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