June 1, 2003
Features
Survivor's Market
Jun 1, 2003 12:00 PM, By Ross Tucker
What makes a broker successful? Age, experience, years at one firm, education--the more of all those things, the better. One other helpful hint: It's not where you work, but how you work that is important....
The New Smith Barney
Jun 1, 2003 12:00 PM, By David A. Gaffen
Can Sallie Krawcheck and Tom Matthews restore confidence in Smith Barney and create a successful model for the 21st century retail brokerage?...
The Non-Compete Trap: No Longer the Jaws of Death
Jun 1, 2003 12:00 PM, By Ann Therese Palmer
New rules, legal precedents and a willingness of hiring firms to negotiate non-compete and non-solicitation clauses in contracts can give brokers more options....
Insurance and the Well-Rounded Rep
Jun 1, 2003 12:00 PM, By Ann Carol X. Vinzant
Securities firms have good reasons for wanting their reps to sell insurance, but some stockbrokers dismiss it outright. It is beneath you, too complicated or simply not worth the risk?...
Brokers vs. Life Insurance Producers
Jun 1, 2003 12:00 PM, By Andre Cappon and Guy Manuel
In the converging financial services business, reps have a big edge over insurance producers. They make more, have better clients--and are pushed harder by management....
Finding the Right Insurance Partner
Jun 1, 2003 12:00 PM, By Carol X. Vinzant
To find a good match for both you and your clients, you must do your homework....
REPorts
False Dawn
Jun 1, 2003 12:00 PM, By Will Leitch
Brokers hoped that the Spitzer settlement would put the conflict of interest scandals in the past. Too bad retail investors have such long, bitter memories....
What if?
Jun 1, 2003 12:00 PM
Iraqi Information Minister Mohammed Saeed al-Sahaf (known for his ridiculous denials) ran a brokerage firm The sales assistants have not been fired. Those...
A.G. Edwards Ready For Its Close-Up
Jun 1, 2003 12:00 PM, By Will Leitch
The St. Louis-based firm hires a marketing agency for the first time in 115 years....
Wachovia: Bank This
Jun 1, 2003 12:00 PM, By David A. Gaffen
The securities firm joins the cowd of banks offering up-front deals....
Independent Minded
Jun 1, 2003 12:00 PM, By Will Leitch
Raymond James' CEO on Spitzer, hiring and the Mayo Clinic....
Comings & Goings
Jun 1, 2003 12:00 PM
Another manager has found the path from Prudential to UBS PaineWebber. The manager of Prudential's Aventura, Fla., branch, Marc Margolies, has been wooed...
Where the (Big) Money Is
Jun 1, 2003 12:00 PM
What is the typical affluent investor doing with his money in this down market? A recent study from Chicago-based Spectrem Group attempted to answer that...
IMCA, Ethics and the Broker's Wallet
Jun 1, 2003 12:00 PM, By David A. Gaffen
The Investment Management Consultants Association is aiming to create a structure for rewarding ethical behavior....
This Year's Beach Reading
Jun 1, 2003 12:00 PM, By Will Leitch
Four financial titles to pack with the sunscreen....
Opinion
Hardwired for Debacle?
Jun 1, 2003 12:00 PM, By David A. Geracioti
Giving them what they want instead of what they need....
Endpiece: From the Mouths of Brokers
Jun 1, 2003 12:00 PM, By Will Leitch
In the Spitzer Files (evidence released with New York attorney general Eliot Spitzer's $1.4 billion settlement with Wall Street), brokers say the darnedest things about Jack Grubman....
The Practice
Think Big about Small Niches
Jun 1, 2003 12:00 PM, By Anne Field
Reps who organize their practices around a specialty do significantly better than generalists....
The Inner Game: Advisors, Heal Thyselves
Jun 1, 2003 12:00 PM, By Matt Oechsli
Negative thoughts can be professional death for an advisor. Here's how to avoid them....
Stages: Marriage and the Financial Advisor
Jun 1, 2003 12:00 PM, By Susan L. Hirshman
If your client is tying the knot, you should move aggressively to make sure he stays yours--and become theirs....
Managed Accounts: Getting Past No
Jun 1, 2003 12:00 PM, By Steve Gresham
The investment policy statement is a great tool for convincing wary investors that moving their managed accounts money to you is in their best interest....
Generations: Forget the Conventional Wisdom Go After Middle Americans
Jun 1, 2003 12:00 PM, By Kevin McKinley
Sure, it's heresy to say you aren't targeting high-net-worth clients. But you can make more if you serve your Mom and Pops efficiently....
Spending It: Hang Ten
Jun 1, 2003 12:00 PM, By Sam George
Learning to surf is all the rage. What newbies need to know....
Investing
Equity Watch: Welcome to the Bull Market
Jun 1, 2003 12:00 PM, By Steve Leuthold
A "perma bear" money manager tells why he got happy about equities....
Fixed Income: How to Make the Depressed Dollar Work for You
Jun 1, 2003 12:00 PM, By Eric Uhlfelder
Investments in non-dollar denominated assets are a nice hedge now....
Mutual Funds: Time to Time the Market?
Jun 1, 2003 12:00 PM, By Stan Luxenberg
Once considered heresy, market timing is now advocated by managers who expect the markets to remain choppy....
