September 1, 2003
Features
Giants Among Us
Sep 1, 2003 12:00 PM, By David A. Gaffen
They live the life of an ordinary rep--only in an outsized way. They are the biggest of the big producers, and here's how they got that way....
Still Standing
Sep 1, 2003 12:00 PM, By Constance Gustke
Dismissed by many on Wall Street as a mere momentum investor, Investor's Business Daily founder William O'Neil is still preaching his style of growth known as CANSLIM....
REPorts
As the Bull Turns
Sep 1, 2003 12:00 PM, By Will Leitch
The executive comings and goings at Merrill appear to have settled down, but how will the moves affect the firm's reps?...
Goodbye Stopgap
Sep 1, 2003 12:00 PM, By David A. Gaffen
Mortgage refinancings, the bread-and-butter of many a transaction broker through 2002 and early 2003, are declining, and that has many concerned....
Funny Fact
Sep 1, 2003 12:00 PM
We've Heard of Performance Anxiety, But Sheesh Never mind comparing yourself to the S&P 500. According to Wired News, one of the people placing an online...
Tussle Over Designations Rankles Advisors
Sep 1, 2003 12:00 PM, By David A. Gaffen
A dispute over those who want the CIMA degree has caused a ruckus among some of IMCA's members....
Lowering the Keeper Threshold
Sep 1, 2003 12:00 PM, By David A. Gaffen
Wachovia's former Pru brokers can hand on to smaller accounts, provided they continue to cast for the big fish....
Building a Better Separate Account Mousetrap
Sep 1, 2003 12:00 PM, By David A. Gaffen
Smith Barney is trying to make it easier for its reps to monitor client accounts....
Fraudulent Sales Pitch of the Month
Sep 1, 2003 12:00 PM
The Commonwealth of Massachusetts recently issued a fraud alert concerning Senior Benefit Centers Network and Senior Financial Survival Workshops. In...
Broker Production Down 10 Percent in 2002
Sep 1, 2003 12:00 PM, By Nigel Goodman
The SIA reports that production experienced a second straight double-digit drop, and reps' earnings were down 8 percent as well....
Do You Want a Manager with That Account?
Sep 1, 2003 12:00 PM, By Will Leitch
Separately managed accounts surge, thanks to a big push from all firms....
10 Years Ago in Registered Rep
Sep 1, 2003 12:00 PM
Financial services looks like a great career right about now. While employees in other industries suffered from layoffs and pay cuts last year, RR compensation...
Opinion
In Praise of Small Accounts
Sep 1, 2003 12:00 PM, By David A. Geracioti
If you are a veteran financial advisor, maybe you recently lost a small client -- someone with, say, $25,000 in an education IRA. If so, there's a decent chance that the loss barely registered with you. Well, I'm here to tell you that such a laissez faire attitude is a bigger problem than you probably realize....
The Practice
Don't Fight, Switch
Sep 1, 2003 12:00 PM, By Anne Field
Moving to a fee-based model may be painful, but it' worth it....
Family Fortune Feuds
Sep 1, 2003 12:00 PM, By Ruth Halcomb
What can a rep do about disagreements over the distribution of a client's wealth to family members?...
Taxing Issues: The AMT Surprise in 2005
Sep 1, 2003 12:00 PM, By Susan L. Hirshman
Behind the positive facade of the new alternative minimum tax exemptions lurks an insidious time bomb. Here's how to prepare your clients....
Managed Accounts: The Big Picture
Sep 1, 2003 12:00 PM, By Steve Gresham
Managed accounts as part of an overall wealth management strategy....
Street Legal: The Brokerage Industry's Darwin Awards
Sep 1, 2003 12:00 PM, By Bill Singer
Sometimes the disciplinary cases that come before the NASD are as amusing as they are troubling....
Employment Issues: Preventative Medicine for the Retail Broker
Sep 1, 2003 12:00 PM, By Richard Roth
Arbitration is painful; the practices outlined below are arb "aspirin."...
The Inner Game: Overcoming the Fear Factor
Sep 1, 2003 12:00 PM, By Matt Oechsli
How to break through the jitters that hamper up-market prospecting efforts....
Generations: The Grandparent Trap
Sep 1, 2003 12:00 PM, By Kevin McKinley
Boomers are headed for a great surprise: Many will wind up caring for their elderly parents. Here's what advisors can do to soften the shock....
Spending It: The Ultimate Transportation Toy
Sep 1, 2003 12:00 PM, By Nigel Goodman
Want to have something in common with Kevin Spacey, President Bush and Justin Timberlake? Hop on a Segway....
Investing
Equity Watch: Poised for Takeoff?
Sep 1, 2003 12:00 PM, By Glenn S. Curtis
Airplane parts makers ready to fly....
Fixed Income: A Curve For All Seasons
Sep 1, 2003 12:00 PM, By Joseph F. Lombardis and Robert G. Smith III
A historical analysis of the municipal bond yield curve....
Mutual Funds: Avoiding the Tax Man
Sep 1, 2003 12:00 PM, By Stan Luxenberg
Taxes shouldn't be the biggest concern when choosing an investment. Just try telling that to clients who suffered capital losses and had to pay taxes on mutual fund holdings in 2000....
How You Doin'?
Sep 1, 2003 12:00 PM, By Eric Uhlfelder
Chances are, you and your clients don't know. The typical brokerage statement delivers tons of data, but very little useful performance attribution information....
