Handcuffs Made of GoldSep 1, 2004By 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... E&O AND USep 1, 2004BY JASON VAN STEENWYK Louis Stanasolovich, a financial planner with Pittsburgh-based Legend Financial Advisors, recently had to scramble to find errors-and-omission insurance... The Weight of WordsSep 1, 2004By Anne Field It's a paradox confronting brokers all over the country: In a business climate that calls for ever-increasing advisor-client intimacy, financial professionals... Recruit or Reboot?Sep 1, 2004By 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.... Parting is Such Sweet SorrowSep 1, 2004David A. Gaffen In the name of client freedom of choice and the of personal financial information, you won't have to steal client addresses and phone numbers any more... Of Myths and MovingSep 1, 2004By 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... Thinking Small (In a Good Way)Aug 1, 2004By 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, 2004David 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, 2004John Churchill In recent years, Prudential Securities has fended off numerous challenges to the legality of its deferred compensation plan, known as MasterShare, but... Where the Women At?Aug 1, 2004By 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... More Rich People to ServeJul 1, 2004David 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,... Alone In a CrowdJul 1, 2004By 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 Line Which Is DottedJul 1, 2004By 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... The Cutting EdgeJul 1, 2004By 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... Full Service Carries the DayJun 1, 2004By 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, 2004BY 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,... When Big Means BadJun 1, 2004By 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, 2004By 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... Five Star Upgrade at A.G. EdwardsMay 1, 2004Will Leitch For years, the biggest gripe A.G. Edwards reps harbored about their firm concerned the technology platform. Specifically, reps say, their workstations... Whom Do You (Trust)May 1, 2004By 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),... The Money DoctorsMay 1, 2004By 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... Fair PayMay 1, 2004By 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... E Pluribus UnumMay 1, 2004By 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... Less Than Zero: Risk Management in a Life-or-Death EnvironmentMay 1, 2004By 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... Trouble In The House That Purcell Built?Apr 1, 2004By 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... |
Financial Services Company Watch List
Market index values delayed 15 min advertisement Most Popular Storiesadvertisement Client Prospecting Snapshot
|
About UsRegistered Rep. is the most trusted digital and print source for the retail investment professional, serving brokers, financial advisors, RIA’s, IBD’s, insurance, financial planners, and financial product companies with award-winning insight coverage of the brokerage, wealth management, fund and financial product industry as well as breaking news, data, rankings, and profiles. |
Most Recent Blog Posts
Follow Us
In This Issue: May 2012
Back Issues
Registered Rep. eNewsletters
Subscribe today to get the news you need and information you want from our e-newsletters. To preview the current issue click on the newsletter below. Subscribe Today!
