Aug 1, 2010
By Jerry Gleeson
Valerie Brown, Chief executive officer, Cetera Financial Group
...
Aug 1, 2010
By John Kador
Think you're smart? Try these brainteasers that recruiters use in actual job interviews....
Aug 1, 2010
By Christina Mucciolo
...
Aug 1, 2010
By John Aidan Byrne
With its revamped discount trading platform, Merrill has, in effect, declared open warfare on Chuck Schwab and its discount brokerage peers....
Jul 27, 2010
By Halah Touryalai
The man who led the overtime wage battle against wirehouses (and won millions for reps) is now making the argument against the largest independent broker/dealer in the nation, LPL....
Jul 13, 2010
By Susan Konig
Used to be that plenty of FAs hoped one day to become branch managers. That was then....
Jul 12, 2010
By Christina Mucciolo
Super OSJs are increasingly taking over the supervisory burden and providing other back-office and business services for breakaway advisors....
Jul 7, 2010
By David A. Geracioti
Though 2009 comp was way off from 2008, on average, financial advisors' compensation has, for the most part, returned to pre-crash levels. Expectations are high for a resumption of growth for 2010....
Jul 1, 2010
By Mindy Diamond
If you got a retention package after a recent bank merger, you may want to stay put so you can take advantage of it. But make sure your clients are happy before you spend that money....
Jul 1, 2010
By David A. Geracioti
Jeff Fishman, JSF Financial Planning, Los Angeles....
Jul 1, 2010
By Halah Touryalai
...
Jun 9, 2010
By Jerry Gleeson
If you worked as a financial advisor last year, you are well aware that securities industry compensation was one of the many victims of the financial collapse. But new data from David Belkin, senior economist at the nonpartisan New York City Independent Budget Office, suggests that a more game-changing dynamic was at work, at least as far as securities companies based in New York City are concerned....
Jun 7, 2010
By Halah Touryalai
As one advisor puts it, “[The private equity firms] didn’t invest in LPL to hang out. It was a business decision and they’re ready to monetize their investment.” The PE firms’ 2005 investment valued LPL at $2.5 billion, or 2.5x gross revenue—a multiple analysts said was the highest ever for an independent b/d/. ...
Jun 1, 2010
Halah Touryalai
Woodbury Financial Services, a subsidiary of The Hartford Financial Services Group, hired Albert Johnson as chief compliance officer of broker/dealer...
Jun 1, 2010
By Kristen French
Morgan Stanley Smith Barney and Merrill Lynch are neck and neck for the No. 1 spot among wirehouses. ...
Jun 1, 2010
By Mindy Diamond
With regulatory reform on the way, some financial advisors are putting off making important career changes....
Jun 1, 2010
By Halah Touryalai
Broker/dealer firms eat away at their advisors' take-home pay with little fees on nearly every product and service. Sometimes the slices they take aren't very transparent....
Jun 1, 2010
By Jerry Gleeson
Team players serve clients better and stand to make more cash. But compensation issues surrounding teaming pose their own dilemnas. ...
May 26, 2010
By Kristen French
Story updated at 4:21 p.m.
The future of Sallie Krawcheck, head of Merrill Lynch’s thundering herd of retail financial advisors, is suddenly the subject of much speculation. ...
May 11, 2010
By Susan Konig
BOMs are increasingly considered a cost of goods sold on the P&L statement. Consolidation is forcing them out of the business, or, if they are lucky, they are being pushed back into production. Or they can take a pay cut....
May 6, 2010
By Jerry Gleeson
A growing number of websites is offering consumers tools for budgeting, goal planning, and investment trading. A few of these personal financial management (PFM) sites are drawing big numbers of clients. ...
May 1, 2010
By Christina Mucciolo
Living to give....
May 1, 2010
By Halah Touryalai
Help for grieving mothers....
May 1, 2010
Kristen French
The survivor....
May 1, 2010
By Jerry Gleeson
Rebuilding children's lives....
May 1, 2010
By John Aidan Byrne
UBS's American brokerage unit was hemorrhaging client assets and FAs. Then came Bob. ...
May 1, 2010
By Dr. Alden Cass
Get to know your blind spots and try to remedy them and you will thrive....
May 1, 2010
By David A. Geracioti
This year Registered Rep. celebrates its 30th annual Outstanding Advisor Awards. Our winners are as highly dedicated to their philanthropic projects as they are helping people with their personal financial lives. Most of them give extensively both of their time and their money to causes they care about. ...
May 1, 2010
By Jerry Gleeson
Walking the walk....
May 1, 2010
By Halah Touryalai
May 1, 2010
By Mindy Diamond
What not to believe when you're considering switching firms....
May 1, 2010
By Kristen French
The full time philanthropist....
May 1, 2010
By Kristen French
Captain kid....
May 1, 2010
Christina Mucciolo
Wayne Warner, founder of Wayne Warner & Associates, an LPL firm in Fallbrook, California....
May 1, 2010
By David A. Geracioti
Patron of the arts....
