January 1, 2008
Reports
Top Compliance Issues In 2008
Jan 1, 2008 12:00 PM, By Susan Konig
If you thought compliance and regulatory scrutiny couldn't get any more intense, welcome to 2008. Consumer protection is expected to be the driving force...
Paula Dorion-Gray
Jan 1, 2008 12:00 PM, By Halah Touryalai
Registered Rep: Technology that's had the greatest impact on your business? Paula Dorian Gray: Pareto Client Management System, which allows us to provide...
60 Seconds: Rob Francais
Jan 1, 2008 12:00 PM, By Kristen French
Registered Rep. spoke with Francais about competition in the wealth-management business. His firm, Quintile, recently agreed to merge with Kochis Fitz,...
Blotter
Jan 1, 2008 12:00 PM, John Churchill
Not The Glengarry Leads: In December, the SEC charged former San Francisco-based stockbroker Sidney Mondschein with securities fraud and regulatory violations....
SMAs On The Rise
Jan 1, 2008 12:00 PM, By Christina Mucciolo
Separately managed accounts are taking up a growing piece of the product-allocation pie, according to a recent study by Reuters AdvicePoint and research...
Correction
Jan 1, 2008 12:00 PM
In our December Annual Broker Report Cards story, we published incorrect numbers for Wachovia/A.G. Edwards. Wachovia actually scored 8.1 in the Work Environment...
What About Us?
Jan 1, 2008 12:00 PM, By Halah Touryalai
Schwab's Talk to Chuck campaign is tough to miss. Buses, billboards and television screens have all been plastered with Chuck Schwab's friendly face in...
Fishing For Talent
Jan 1, 2008 12:00 PM, By Kristen French
Financial-services firms are in fierce competition for good wealth managers, also sometimes known as client-relationship managers (CRMs). For the most...
Comings & Goings
Jan 1, 2008 12:00 PM, Halah Touryalai
Merrill Lynch appointed Nelson Chai as executive vice president and chief financial officer of the company. Prior to joining Merrill, Chai served as executive...
MySpace For Millionaires?
Jan 1, 2008 12:00 PM, By Christina Mucciolo
You won't find your ultra-high-net-worth clients trolling MySpace for dirt on their neighbors, or petitioning plebs to buy their private jets on Facebook....
2008: A Glass-Half-Full Kind Of Year?
Jan 1, 2008 12:00 PM, By Christina Mucciolo
U.S. economic growth will be slow in the first half of the year, but in the second half, according to the Securities Industry and Financial Markets Association...
Eat Your Heart Out East Hampton
Jan 1, 2008 12:00 PM, by Christina Mucciolo
Hedge-fund manager Louis Moore Bacon of Moore Capital Management, LLC, just set a new record for the highest price every paid for a piece of residential...
Cover Story
Too Big To Ignore
Jan 1, 2008 12:00 PM, By John Churchill
It's a familiar drama in the schoolyard and in business too: One day a kid comes along with some cool new toy instantly supplanting the previously reigning...
Features: Special Wealth Report
Wealth Moves East
Jan 1, 2008 12:00 PM, By Christopher C. L. Anderson
Last year ushered in a new titleholder for the wealthiest man on earth: Mexican telecom tycoon Carlos Slim took that honor, knocking Bill Gates and Warren...
The Habits Of Wealth
Jan 1, 2008 12:00 PM, By David A. Geracioti
Registered Rep.: Why write a book on a magazine list? And how much money do you have to have to make it on the Forbes list? Peter Bernstein: The amount...
Features: Special Supplement: Independent Life
You Win Some, You Lose Some
Jan 1, 2008 12:00 PM, By Halah Touryalai
With so much buzz about the RIA world's rapid growth in assets and number of advisors, news about the other independent channel seems to be slipping through...
Independent Advisor Services, LPL Bill Dwyer President
Jan 1, 2008 12:00 PM
Registered Rep.: Why would a wirehouse rep want to leave his firm and join yours? Bill Dwyer: To create an offering valued by their clients, a very high-quality...
Joe Deitch, CEO, Commonwealth Financial Networks
Jan 1, 2008 5:01 PM
Registered Rep.: Why would a wirehouse rep want to leave his firm and join yours? Joe Deitch: At Commonwealth, an experienced advisor can have the best of all worlds...
Cadaret, Grant Arthur F. Grant, President and CEO
Jan 1, 2008 12:00 PM
Registered Rep.: Why would a wirehouse rep want to leave his firm and join yours? Arthur F. Grant: Representatives of Cadaret, Grant can take personal...
Mutual Service Corporation J. Andrew Kalbaugh CEO
Jan 1, 2008 12:00 PM
Registered Rep.: Why would a wirehouse rep want to leave his firm and join yours? J. Andrew Kalbaugh: When wirehouse reps work with our firm, they expand...
Securities America Steve McWhorter CEO
Jan 1, 2008 12:00 PM
Registered Rep.: Why would a wirehouse rep want to leave his firm and join yours? Stever McWhorter: For the resources to profitably grow your business...
Top 50 Independent B/D Advisors
Jan 1, 2008 12:00 PM
Name Firm (B/D) City Est. AUM in MM Yrs. in Biz Business Description/Specialty 1 Ron Carson Carson Wealth Management Group (LPL) Omaha, NE $1,560 24 Holistic...
Investing
To Catch A Muni Index
Jan 1, 2008 12:00 PM, By Stan Luxenberg
Since the first exchange-traded bond fund appeared in 2002, financial rocket scientists have struggled to launch a tax-free ETF. The development efforts...
The Practice
What's The Plan, Stan?
Jan 1, 2008 12:00 PM, By Anne Field
Hunter McFarlin knew something was wrong. He quit his job selling life insurance at a small bank in Murfreesboro, Tenn., to start his own advisory practice...
The Gift That Keeps On Giving
Jan 1, 2008 12:00 PM, By Kevin McKinley
Sooner or later, you're going to get a call from a valued client that may put you in an uncomfortable situation. He will tell you that the Society for...
Weathering The Storm With CDs
Jan 1, 2008 12:00 PM, By Kevin McKinley
A generation ago, retiring clients usually had most of their money locked up in certificates of deposit at the local bank. Simplicity, predictability,...
When Management Pushes Managed Accounts
Jan 1, 2008 12:00 PM
All the major firms are doing it. If you think there are better investment options for your clients, tell management in writing (and keep copies). You...
Life-Insurance Makeover
Jan 1, 2008 12:00 PM, By Alan Lavine
Now may be the time to get your clients more life insurance: In 2008, life-insurance premiums will be 11 percent lower than they were two years ago and...
Opinion
Desperately Seeking Advisors For RR's 28th Annual Outstanding Advisor Awards
Jan 1, 2008 12:00 PM, By David A. Geracioti Editor-In-Chief
We, the editors of Registered Rep. magazine, are officially opening our annual hunt for the best in the business. That's right, we're asking for nominations...
A Taxing Problem
Jan 1, 2008 12:00 PM, By Bill Singer
In March 2003, NASD received a customer complaint letter accusing registered representative Morton Bruce Erenstein of misrepresenting investments, recommending...
The Magnetic Salesman
Jan 1, 2008 12:00 PM, By Matt Oechsli
Let's review three irrefutable truths: The affluent do not like sales people. Too many veteran advisors have neglected their sales skills. Advisors possessing...
The Team Of Your Dreams
Jan 1, 2008 12:00 PM, By Mindy Diamond
Finding teammates is no small task. You need to be compatible both personally and professionally; you need to have common goals and a common business...
Registered Rep. Readers Are Awash In Numbers
Jan 1, 2008 12:00 PM, Compiled By John Kador
Smart decisions are based on more than government statistics, agency reports, news releases, interest rates and stock quotes. We've selected a few fascinating...
