Outgrowing The Series 7Sep 1, 2010,By Halah Touryalai When the 7 becomes more of a burden than a benefit.... Fix My Business: Hiring Good HelpJun 1, 2009,By Anne Field One practice owner wants to hire junior advisors with an entrepreneurial spirit to bring in new business, but our experts say he’s looking for the impossible.... Compliance MonkeyOct 1, 2008,By Christina Mucciolo Okay, maybe that is unkind. How about compliance helpers or specialists?... Diane StricklandOct 1, 2008,By Christina Mucciolo Diane Strickland says she got her first job in the financial services industry because she knew how to handle rejection over the phone.... Donna KlickaOct 1, 2008,By Christina Mucciolo When the branch manager, operations manager, administrator and one of the sales assistants left a Bloomington, Minn., Smith Barney branch at the same time, Donna Klicka stepped up to the plate... Kathy AlbachOct 1, 2008,By Christina Mucciolo Kathy Albach doesn't take messages or transfer calls as much as she used to when she first started out as a sales assistant... Betsy SmithOct 1, 2008,By Halah Touryalai If you shadowed Betsy Smith during a typical day at her Raymond James office, you'd probably have a tough time figuring out what she actually does... Massachusetts Enforces Rules On Use of Senior DesignationsMay 17, 2007,By Halah Touryalai This week Massachusetts fired a round in the new regulatory war waged by state securities regulators against the use of senior designations to commit senior fraud. The Massachusetts State Securities Division adopted the nation’s first regulation requiring advisors to advertise only accredited credentials, or credentials that can clearly demonstrate that they call for meaningful expertise, when offering financial advice to elderly clients.... More Alphabet Soup, PleaseMay 1, 2007,Kevin Burke The acronyms just keep on comin'. Morgan Stanley recently approved five new professional designations for its reps. The new designations cover areas ranging from trusts and retirement planning to alternative investments and divorce.... What’s In a Name? If You Are a Fiduciary, a Lot. But Are CFP Certificants Fiduciaries?Mar 9, 2007,By Christina Mucciolo Financial planners who hold the Certified Financial Planning designation have been tussling with the CFP Board, which controls the CFP designation, over the designation’s ethical standards. Well, it looks like the tussling will continue.... CFP CEO ResignsNov 1, 2006,Halah Touryalai Sarah Teslik, CEO of the Certified Financial Planner Board, which monitors and supports the widely used CFP designation, announced in mid-October that... All Under One RoofMay 1, 2006,By Jennifer Popovec Advisors who add a real estate license to their portfolio of skills may stand a better chance of keeping clients happy at home... Alphabet SoupMay 1, 2006,By Barry Rehfeld Professional designations are proliferating. Too many seem more devoted to marketing than anything else.... Go to the Head of the ClassMay 1, 2005,By Kristen French Financial advisor Eric Park loves learning, and his clients love him for it. ... Back to School at A.G. EdwardsMar 1, 2005,By Will Leitch A.G. Edwards is not the first brokerage firm to encourage its brokers to continue their educations, but the firm has come up with a novel twist: Its continuing education classes now qualify for college credits.... Coaching DecisionsOct 1, 2004,By Matt Oechsli To advisors who would ask, Do I need a personal coach? I respond, Michael Jordan had one, and Tiger Woods employs one. Even the best financial advisor... Over the TopJun 1, 2004,BY ALLEN PLUMMER There's one big problem with being on top, and the organization that administers the Certified Financial Planner designation is in the process of learning... Helping Advisors Cope with Aging, (Their Clients)May 1, 2004,John Churchill Reps now have another designation to pin to their names, and it couldn't come at a better time. As the U.S. population continues to age, the American... The Future of the IndustryJan 1, 2003,By David A. Gaffen and David A. Geracioti For James Gorman, head of Merrill Lynch's U.S. and global private client group, the largest brokerage operation in the world, the question of what financial... Training Brokers Not to Flunk OutNov 1, 2002,By Michelle Leder It hasn't been an easy introduction to the brokerage business for Jody Carmack, let alone any of his classmates who started training at Edward Jones in... Go to the Head of the ClassMay 1, 2002,By David A. Gaffen Putting CFP, CIMA, ChFC, AEP etc. after your name may not matter for the book you have, but it matters for the book you want.... |
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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