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... 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... 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... 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... 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.... 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... Growing PainsOct 1, 2003,By Gregory Crawford Waddell & Reed reps, dispersed around small towns mostly in the Midwest, have long had a strong opening pitch for clients and prospects: I work for one... 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.... Think Big about Small NichesJun 1, 2003,By Anne Field Reps who organize their practices around a specialty do significantly better than generalists.... 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?... The Non-Compete Trap: No Longer the Jaws of DeathJun 1, 2003,By Ann Therese Palmer New rules, legal precedents and a willingness of hiring firms to negotiate non-compete and non-solicitation clauses in contracts can give brokers more options.... Generations: Forget the Conventional Wisdom Go After Middle AmericansJun 1, 2003,By Kevin McKinley Sure, it's heresy to say you aren't targeting high-net-worth clients. But you can make more if you serve your Mom and Pops efficiently.... Why Some Advisors Just Say No to Monte Carlo SimulationsMay 1, 2003,By Julie Crawshaw Monte Carlo simulation the method of statistical analysis that determines the probability of certain events using a roulette-wheel like generation of... Judge Says CAP Plan Violates Wage LawsJan 1, 2003,Will Leitch Opponents of Salomon Smith Barney's CAP plan, a deferred compensation plan that requires employees to contribute wages through payroll deductions to purchase... Sweeping Away The BluesDec 1, 2002,By Anne Field Ray Jensen thought he was handling the stress of the bear market well. Until July. That was when the market plunged for four weeks in a row, brought down... Pounding the (Cyber)PavementDec 1, 2002,By Bennett Voyles Remember the old days, when you had to sit around and wait for the Sunday classifieds? How archaic. These days, the Internet is the best thing for job... The Eight Ways to Broker NirvanaDec 1, 2002,By Anne Field There is a memorable passage in Lewis Carroll's Alice's Adventures in Wonderland, where Alice is confronted with a fork in the road. She asks the Cheshire... Breaking Up Is Hard to DoNov 1, 2002,By Jonathan Arfa When a business partnership is new and everybody is toasting the new team, nobody thinks much about the legal agreements the partners just signed. In... The Tale Of The TapeSep 1, 2002,By Anne Field Yes, we know: You're not a broker, but a wealth manager or a financial consultant or whatever. That sounds nice, and it may even be true. But to your... Think Before You MoveSep 1, 2002,By Nicholas Ferber These days, it sometimes seems like a chore just to roll out of bed and into work. The market's down, the boss is a pain and the mere thought of cold... As Time Goes ByAug 1, 2002,By Anne Field E-mails pile up; the phone rings incessantly; and still those financial plans must be finished. What's a broker to do? Get organized, of course. Here's how.... Reversal of Fortune: Compensation Trends 2002Jun 1, 2002,By David A. Geracioti A third of our broker compensation survey respondents say their earnings fell by 10 percent to 40 percent in 2001. Still, the respondents remained optimistic for 2002. Crazy optimists or pragmatic realists?... The Difficulty of Going it AloneJun 1, 2002,By Anne Field Me, Myself and I . . . and my attorney, and my receptionist, and my tech consultant . . .... The Inner Game: Put Your Best Face ForwardJun 1, 2002,By Matt Oechsli When even H&R Block joins the wealth management fray, you know the competition for upper middle class and affluent investors is feverish. Everyone wants rich investors, and they want to manage all of their money. It's like what infamous Willie Sutton said of his bank-robbing career: "It's where the money is."... Basic TrainingMay 1, 2002,By Anne Field So, you've decided it's time to move up to a new professional designation. How do you go about it—and keep your day job?... Betrayed?Mar 1, 2002,By David A. Gaffen Phil Spartis and Amy Elias say Salomon Smith Barney rushed to settle investor claims against them—and ruined their future as brokers.... Escaping Nonsolicitation AgreementsAug 1, 2001,By William A. Jacobson
Compliance Overkill at Wells Fargo?Oct 1, 2000,Staff A number of Wells Fargo bank brokers who have resigned or been terminated contend that the bank is taking compliance overboard--in some cases, for its own purposes. ... |
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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