January 1, 2002
Cover Story
It's the Best of Times
Jan 1, 2002 12:00 PM, By Dan Colarusso
Well, it could be — for brokers and advisors who have the know-how to seize the moment....
Features
Taking Aim at Managed Accounts
Jan 1, 2002 12:00 PM, By David Lipshultz
Mutual fund companies are homing in on the lucrative marketing, but so far they're barely a blip on the radar....
Running with the Bulls
Jan 1, 2002 12:00 PM, By David Sterman
No one knows when the recovery will come. What we do know is what sectors to be in when it does....
Time to Think Outside the Box
Jan 1, 2002 12:00 PM, By David A. Gaffen
Alternative investments, especially hedge funds, are becoming more mainstream....
Working with Do-It-Yourselfers
Jan 1, 2002 12:00 PM, By Jason Black
Self-directed investors are coming back to the full-service brokers for advice — even though they sometimes like to trade for themselves, too....
How to Survive a Layoff
Jan 1, 2002 12:00 PM, By Jason Black
If you're let go, here's what to do....
A Profile of the Registered Rep
Jan 1, 2002 12:00 PM, By Betsy Riley
A comprehensive study finds that despite the drumbeat for managed accounts, most brokers still live off transaction business....
Unloading No-Loads and Courting Reps
Jan 1, 2002 12:00 PM, By Betsy Riley
Good news! Fund companies need reps and are introducing more load funds....
Solid to the Core
Jan 1, 2002 12:00 PM, By Stan Luxenberg
Why a core strategy can work in good times and bad — and save on taxes, too....
Plugging The Leak
Jan 1, 2002 12:00 PM, By Randy Lert
Taxes aren't always inevitable. Now is a good time to recommend tax-efficient mutual funds....
Junk?
Jan 1, 2002 12:00 PM, By Gayle Ronan
High-yield funds aren't always junk. Sometimes they beat blue chips....
REPorts
Game Plan 2002
Jan 1, 2002 12:00 PM, By Tom Philpott
What the firms have in mind for 2002: More fee-based accounts, more wealthy clients. Fewer marginal reps....
Schwab Putting on the Ritz
Jan 1, 2002 12:00 PM, By David Lipshultz
After three years, it ranks 10th in managed accounts with about $8 billion....
Confidence or Competence?(Choose Confidence)
Jan 1, 2002 12:00 PM, by Michelle Leder
University research proves it: Investors think a confident broker is a smarter broker....
Trustworthy?
Jan 1, 2002 12:00 PM, by Jason Black
Not brokers. They rank below journalists and even congressmen in a Gallup poll....
Arbitration Cases Rise
Jan 1, 2002 12:00 PM, By Betsy Riley
… but the ratio of cases to trades has dropped considerably over the long term....
Opinion
Editor and Publisher's Letter: Welcome to Registered Rep.
Jan 1, 2002 12:00 PM, By David A. Geracioti, editor, and Rich Santos, publisher
In the event that you don't recognize the publication you're reading, it is Registered Representative. Scratch that. Registered Rep. We've shortened our...
From the NAIP: Losing Green and Seeing Red
Jan 1, 2002 12:00 PM, By T. Sheridan O'Keefe
If you think managed accounts business means less arbitration, think again. One broker's story....
The Inner Game: Luring Wealthy, Dissatisfied Investors to Your Practice.
Jan 1, 2002 12:00 PM, By Matt Oechsli
The Fast Track plan for focusing on those high-net-worth clients....
Estate Planning: A 911 For Estate Planning
Jan 1, 2002 12:00 PM, By Roy M. Adams
Now, more than ever, it is essential for clients to get wills and other estate-planning documents in order....
Wealth Advisor: The Search for Middle Class Millionaires
Jan 1, 2002 12:00 PM, By Hannah Shaw Grove and Russ Alan Prince
It's hunting season for the most desirable prey — the "middle-class millionaires." The woods are full of them....
Endpiece: "You're down 25 percent. That'll be $2,000 please."
Jan 1, 2002 12:00 PM, By B. J. Webster
How to handle that dicey chat with clients....
The Practice
Million-Dollar Babies
Jan 1, 2002 12:00 PM, By Beth Karlin
Baird broker Kevin McKinley has boosted business by showing parents how to give their kids the gift of financial security....
How to Avoid Going to Jail for a Very Long Time
Jan 1, 2002 12:00 PM, By Sara B. Estes
The post 9-11 Patriot legislation puts brokers on the front lines of law enforcement, as the Feds try to keep terrorists from using brokerage accounts to stash funds....
Compliance Officers on the War Path
Jan 1, 2002 12:00 PM, By Mike Hirson
Surprise audits have become routine....
Web Watch
Surfing the Net with Advisors in Mind
Jan 1, 2002 12:00 PM, By Betsy Riley
World Investor Link, Financial Finesse, ConvertBond.com sites reviewed....
How Do You Measure Up?
Jan 1, 2002 12:00 PM, By Gayle Ronan
January's a good time to assess how you did in 2001 and figure out where you're going in the New Year. This year, there's a new Website that is specifically...
People
Life After Retirement at Age 32
Jan 1, 2002 12:00 PM, By Arthur Goldgaber
Jon Sundvold bounced from the basketball court to financial planning after an injury ended his NBA career....
Investment Advice at 35,000 Feet
Jan 1, 2002 12:00 PM, By Rick Weinberg
Rob Gormly always wanted to be an airline pilot. But in a down economy he became an investment advisor. Now he's both....
Business Scouts
Jan 1, 2002 12:00 PM, By Tracy Herman
Two different brokers take different approaches to bringing in new customers....
