Meet Your New Boss 

Sep 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 Jacob 

Sep 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 Performance 

Sep 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 Dugout 

Sep 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...

McColgan Abruptly Leaves Fidelity 

Sep 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...

The Rocky Road to Independence 

Sep 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 Call  

Sep 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) High 

Sep 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...

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 Shift 

Sep 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 Syndrome 

Sep 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 Man 

Sep 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...

Comings & Goings 

Sep 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...

OUTSTANDING SALES ASSISTANT NOMINATIONS 

Aug 29, 2007

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....

Merrill Grabs Advisors Producing $5.5 million From Rival UBS 

Aug 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 & Goings 

Aug 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...

America's Top 100 Independent Advisors 

Aug 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...

Wanted: You 

Aug 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...

The Family Guy 

Aug 1, 2007,

Christina Mucciolo

Michael McNamara, McNamara Financial Services Firm: Commonwealth Financial Network City: Marshfield, Mass. Established: 1987 AUM: $306 million Number...

The Delegator 

Aug 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...

Cold Call 

Aug 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...

You've Got Company 

Aug 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...

Advisor to the Masses 

Aug 1, 2007,

Halah Touryalai

Trudy Haussmann, Haussmann Financial Inc. Firm: Securities America City: Newport Beach, Calif. Established: 1990 AUM: $465 million Number of Clients:...

Thinking Big in Small Towns 

Aug 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 Ten to Watch '07 

Aug 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...

Fired Merrill Manager Promoted at New Firm 

Jul 26, 2007,

By Halah Touryalai

So maybe his reputation wasn’t so damaged after all—or maybe it’s just made a comeback. The former Merrill Lynch sales manager who sued Hydie Sumner and her lawyer Linda Friedman in September of 2006 on grounds that the women damaged his reputation and had him fired was promoted to branch office manager of Southwest Securities’ private client branch in San Antonio, Tex. last week....

Ex-Merrill Broker Wins $1.6 Million in Rare Arbitration Award 

Jul 23, 2007,

By Kevin Burke

An NASD arbitration panel awarded a former Merrill Lynch broker $1.6 million for wrongful termination and defamation, claims he had filed against his former employer. The award included compensatory damages of $400,000 plus interest and punitive damages of $1.2 million. Awards of that size are a rarity in arbitration cases brought by employees against brokerage firms. ...

Merrill Reports Strong Revenues, Adds 270 Advisors 

Jul 18, 2007,

By Kevin Burke

Merrill Lynch’s retail brokerage arm turned in another strong quarter, as fee-based revenue continued to climb to record levels. Merrill Lynch Global Private Client saw its revenues increase by 13 percent to $3.3 billion from $2.9 billion in the year-ago quarter. The pretax profit margin for the entire Global Wealth Management division was 27.9 percent, up from 23.7 percent in the prior-year period, driven by the impact of the investment in BlackRock and prudent expense controls....

With Wuffli Out, What Next for UBS? A Wealth Management Surge in the USA 

Jul 10, 2007,

By John Churchill

Peter Wuffli was replaced as CEO of UBS last week after the firm realized millions of dollars in losses in an internal hedge fund, according to published reports. Marcel Roehner, who was previously deputy CEO and head of global wealth management and business banking, replaced him. ...

Are They Worth It? 

Jul 1, 2007,

By John Churchill

In 2006, the average CEO of an S&P 500 company received $14.8 million in total compensation, according to the Corporate Library. That's a 9.4 percent...

The Dreaded Ds 

Jul 1, 2007,

By Bill Singer

Before you start a new b/d or RIA before you sign a lease or write a check you must consider the Dreaded Ds: Death, Disability, Disqualification and Divorce....

Overcoming Recruiting Obstacles 

Jul 1, 2007,

By Mindy Diamond

There are always a couple of snags when you're switching firms. Fortunately, most obstacles are not as intractable as they might seem. Here are a few...

The Face(s) of Things to Come 

Jul 1, 2007,

By Kevin Burke

Wachovia Securities' takeover of 120-year-old A.G. Edwards is a big deal a surprising deal, even. But not just because with 14,784 FAs and $1.147 trillion...

Wachovia Securities to Make New Home in St. Louis 

Jun 28, 2007,

By Christina Mucciolo

St. Louis will officially be home to the new Wachovia Securities, after Federal Antitrust regulators approved Wachovia Corp.’s acquisition of A.G. Edwards on Monday. Wachovia says the proxy detailing the ins and outs of the deal for shareholder approval should be ready within the next week....

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Current Issue

Registered Rep Cover

Asset-Gathering Machines

BY HALAH TOURYALAI
July 1, 2008

In the first half of 2008, Camden Capital Management, a fee-only RIA in El Segundo, Calif., added $100 million to its growing pot of client assets...

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This reference book was updated for 2008 and now contains over 900 pages of information on essential financial concepts and wealth management strategies for your work with wealthy clients. The book not only contains brief summaries of each topic, but it also contains many useful diagrams and charts that can be used with clients when explaining difficult financial concepts. The information in this book meets current FINRA/NASD guidelines. Click here.

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