Sep 17, 2010
By Mindy Diamond
Production and assets aren’t the only things that factor into wirehouse hiring decisions. Even if you all of your numbers look good, you might not get that 6-figure upfront bonus. Here’s why. ...
Sep 15, 2010
By Kristen French
Investors believe everyone who provides financial advice is already a fiduciary, according to a survey released Wednesday by a group of investment adviser and consumer protection groups. ...
Sep 15, 2010
By Jerry Gleeson
Acquisition-minded United Capital Financial Partners is ramping up its deal-making. Today it announced it bought Dunn Hogerty Investment Consulting, an independent b/d that reports client assets of $500 million in Fort Collins, Colo. “We’re not done yet,” Chief Executive Joe Duran said in an interview with Registered Rep. ...
Sep 14, 2010
By Anne Field
Getting a book published can be great for business, but you have to choose the approach that works for you and do it right. ...
Sep 13, 2010
By Susan Konig
Wall Street recruiting packages have continued to soar in the past year. But insiders say the deals are not always what they seem. These days there are a lot more strings attached and in the current market they’re not great for brokers or firms. ...
Sep 10, 2010
By Stan Luxenberg
According to Morningstar, passive portfolios hold 22 percent of fund assets, up from 11 percent in 1999. Now it is no longer possible to ignore the impact of indexing. ...
Sep 9, 2010
By Richard A. Behrendt, Senior Estate Planner, Robert W. Baird & Co.
Why Super Rich Clients Should Consider Making Taxable Gifts in 2010....
Sep 8, 2010
By Jerry Gleeson
With President Obama and congressional Republicans at loggerheads over tax cut extensions for the wealthy next year, some financial advisors say they are planning for the worst. ...
Sep 3, 2010
By John Aidan Byrne
A father and his son are among four new financial advisers with a combined $363 million of client assets who have recently joined UBS Wealth Management Americas, a UBS spokesperson confirmed to Registered Rep....
Sep 2, 2010
By Stevie D. Conlon
Changes to cost-basis law will present challenges for the brokerage community....
Sep 1, 2010
By Halah Touryalai
When the 7 becomes more of a burden than a benefit....
Aug 31, 2010
By John Aidan Byrne
The brokerage unit of Swiss banking giant, UBS AG, is beefing up its alternative investments to meet growing demand for risk-reduction and portfolio diversification strategies, especially among its affluent clients....
Aug 30, 2010
By Halah Touryalai
In an effort to ramp up its ETF offerings, Charles Schwab announced today that it has acquired an ETF-focused money management company with nearly $4 billion in assets. Schwab paid $150 million in cash and stock for the company....
Aug 29, 2010
By Jerry Gleeson
Wirehouse firms continue to upgrade their advisor workstation technology following the recent consolidation among firms. ...
Aug 26, 2010
By John Aidan Byrne
Merrill Lynch and Morgan Stanley Smith Barney are in a battle for the crown of retail brokerage. ...
Aug 25, 2010
By Halah Touryalai
Advisors seem more optimistic about the economy than their own clients, according to a Charles Schwab survey of 1,200 RIAs who manage a combined $234 billion in client assets. ...
Aug 25, 2010
By Jerry Gleeson
A new survey from Boston Consulting Group suggests that although women’s share of global wealth is growing, the service they get from financial advisors is not equal to that offered to men....
Aug 23, 2010
By Jerry Gleeson
Double-dipping doesn’t just refer to the threat of a new recession this year. Fidelity Investments says the number of loans and hardship withdrawals from 401(k)s is on the rise. ...
Aug 18, 2010
By Richard A. Behrendt, J.D., First Vice President, Senior Estate Planner, and Blake Panosh, First Vice President, Insurance and Annuity Manager, Robert W. Baird & Co.
Sometimes life insurance is better for clients than a Roth conversion. Here’s why. ...
Aug 18, 2010
By Jerry Gleeson
Registered Rep. is preparing its annual survey of sales assistants, and we’re seeking a few highly regarded sales associates who would be willing to be profiled in our October issue. ...
Aug 17, 2010
By Alan Lavine
There’s a reason Joan Rivers has joked that “The second wife gets the biggest diamond.” Financial headaches often come with a divorce and/or a second marriage. ...
Aug 16, 2010
By Brad Zigler
There’s very little real difference between the performance of mutual funds and ETPs in the commodity space, but there’s a whole lot of difference in the products’ risk characteristics....
Aug 13, 2010
By David A. Geracioti
The Charles Schwab Corp. gathers more client assets in July, but its stock sells off anyway....
Aug 12, 2010
By Jerry Gleeson
Want to keep maanaging assets your wealthy clients intend to give away? Learn the business of charitable giving....
Aug 11, 2010
By Stan Luxenberg
Investors have been pouring into exchange-traded funds. But not all ETFs are prospering, says Ron Rowland, president of Capital Cities Asset Management, a registered investment advisor in Austin, Texas. “Too many products have come to market, and not all of them will survive,” says Rowland. ...
