Merrill Reports Record Quarter 

Apr 13, 2004,

By David A. Gaffen

Merrill Lynch reported earnings of $1.3 billion for the first quarter of 2004, a 95 percent increase from the same period a year ago. Pretax earnings...

A.G. Edwards Inks Deal With Morningstar 

Apr 12, 2004,

By Will Leitch

For years, A.G. Edwards reps groused that the firm’s technology platform stunk—that is, it had a tendency to break down, not provide adequate information...

Trouble In The House That Purcell Built? 

Apr 8, 2004,

By Joan Warner

Back in 1981, when Philip J. Purcell helped engineer the odd-sounding merger of Sears Roebuck and Dean Witter, he had a vision. He knew the 401(k) legislation...

SEC Investigates Edward Jones’ Fund Sales 

Apr 6, 2004,

By Will Leitch

Edward Jones—a firm that hasn’t attracted much regulatory scrutiny over the years—has been under considerable fire of late, thanks mainly to previously...

SEC Investigates Edward Jones’ Fund Sales 

Apr 6, 2004,

By Will Leitch

Edward Jones—a firm that hasn’t attracted much regulatory scrutiny over the years—has been under considerable fire of late, thanks mainly to previously...

KeyCorp To Unite Business Units Under Key Brand 

Apr 1, 2004,

John Churchill

KeyCorp, one of the nation’s largest banking-based financial companies, has embarked on an effort to brand itself more clearly. When it’s done, virtually...

Congress Moving on Mutual Funds 

Apr 1, 2004,

John Churchill

Since the mutual fund scandals broke six months ago, Congress has been largely hands-off with regards to reform efforts, but that is changing fast. The...

This is a training article  

Mar 30, 2004,

By Sandi Brown

This is the promo teaser for this article. You should really read the story....

Untitled 

Mar 18, 2004

Since the Volatility Index (VIX) was developed in 1993 many traders have asked about a VIX-based product to trade. Good news – it’s here! VIX Futures...

Untitled 

Mar 18, 2004

Have you ever had a forecast for the CBOE Volatility Index, VIX? Not for the direction of a stock or of the market, but for the direction of the implied...

Morgan Ups Offer to Prospective Candidates 

Mar 15, 2004,

David A. Gaffen

With other firms rapidly improving their recruitment offers to top candidates, Morgan Stanley is guarding against getting left in the dust. Industry recruiters...

Merrill Rewards CEO for Record Profits 

Mar 12, 2004,

John Churchill

Merrill Lynch handed CEO Stanley O’Neal his biggest paycheck ever in 2003—$28.14 million. According to the company’s 2004 proxy statement, O’Neal’s massive...

Huge Growth in Fee-Based Brokerage 

Mar 12, 2004,

John Churchill

Fee-based brokerage showed faster growth than any other segment of managed accounts over the last four years, according to a new report from Cerulli Associates....

SEC Puts Forth Mutual Fund Proposals 

Mar 5, 2004,

By John Churchill

The SEC has put forth three proposals that could drastically change the way mutual funds are sold. Two of the proposals seek greater disclosure about...

Is Smaller Better? 

Mar 5, 2004,

John Churchill

Not quite satisfied with your big wirehouse? Neither are a lot of clients. According to J.D. Power & Associates’ “Full-Service Investor Satisfaction Study,”...

Untitled 

Mar 5, 2004

DATE: Friday, March 19, 2004 TIME: 8:30 a.m. - 4:30 p.m. PHONE: 1-877-THE-CBOE (then press #2) PRICE: $595.00 TARGETED ATTENDANT: Financial Advisors and...

Regulators, Industry Still Divided On Mutual Funds 

Feb 27, 2004,

David A. Gaffen

Look out, insurance companies and banks. The state of New York is coming after you next. In his opening remarks at the SIA’s Mutual Fund Reform and Public...

Extinct?: February's Cover Story 

Feb 20, 2004

Jeff Gerson, a million-dollar producer at Smith Barney, remembers in the early 1990s, when the ability to act as a discretionary portfolio manager really...

Outstanding Brokers: Enter Here! 

Feb 19, 2004

Registered Rep. has begun accepting entries for its 24th annual Outstanding Broker Awards. Click here to get a copy of the entry form. (Completed forms...

SEC Puts Forth Mutual Fund Rules Proposals 

Feb 18, 2004,

By John Churchill

The SEC has put forth three proposals that could drastically change the way mutual funds are sold. Two of the proposals seek greater disclosure about...

More Wachovia, Less Prudential 

Feb 13, 2004,

By David A. Gaffen

Consolidation of management positions continues apace at Wachovia with the departure of two regional presidents and the firm’s former “broker advocate.”...

Dueling Trend Lines on Complaints 

Feb 11, 2004,

By John Churchill

Brokers have become more attuned to investor complaints in recent years, but they must be forgiven if they’re having a hard time drawing conclusions from...

IT Spending Expected To Rise in 2004 

Feb 11, 2004,

By Will Leitch

A new study asserts that Wall St. firms are ready to address one of reps’ most common complaints in recent years: the lack of resources devoted to internal...

Merrill Loses A Regional Director 

Feb 8, 2004,

By David A. Gaffen

One of Merrill Lynch’s 10 regional managing directors, who report directly to senior management at the firm, has announced his retirement. Guy Williams,...

Americans Not Saving Sufficiently For Retirement 

Feb 4, 2004,

By John Churchill

Even as advisors eagerly chase the business of retiring baby boomers, a large percentage of the working population remains in the dark about financial...

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Promises Will Be Broken

By Addison Wiggin
November 1, 2008

Are you factoring future Social Security payments into your clients’ financial plans? Bad idea.



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This reference book was updated for 2008 and now contains over 900 pages of information on essential financial concepts and wealth management strategies for your work with wealthy clients. The book not only contains brief summaries of each topic, but it also contains many useful diagrams and charts that can be used with clients when explaining difficult financial concepts. The information in this book meets current FINRA/NASD guidelines....

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