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UBS Hires Four HNW Advisors  

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....

Looming Cost-Basis Crunch 

Sep 2, 2010

By Stevie D. Conlon

Changes to cost-basis law will present challenges for the brokerage community....

Outgrowing The Series 7 

Sep 1, 2010

By Halah Touryalai

When the 7 becomes more of a burden than a benefit....

UBS Beefs Up Alt Investments for Risk Reduction  

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....

Schwab Buys ETF Firm  

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....

Merrill, MSSB Invest in New Technology  

Aug 29, 2010

By Jerry Gleeson

Wirehouse firms continue to upgrade their advisor workstation technology following the recent consolidation among firms. ...

Neck And Neck, Morgan and Merrill On Hiring Sprees  

Aug 26, 2010

By John Aidan Byrne

Merrill Lynch and Morgan Stanley Smith Barney are in a battle for the crown of retail brokerage. ...

Better Economic Times Ahead? Your Clients Don’t Think So.  

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. ...

Women Investors Want More From Advisors, Report Finds  

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....

Fidelity: More Investors Raiding Their 401(k)s  

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. ...

Life Insurance Vs. Roth Conversion 

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. ...

Registered Rep. Is in Search of Outstanding Sales Assistants  

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. ...

Insuring Clients In Divorce And Second Marriage 

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. ...

Commodity Funds or Commodity Exchange-traded Products? 

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....

Schwab Posts Better-Than-Expected Client Metrics for July  

Aug 13, 2010

By David A. Geracioti

The Charles Schwab Corp. gathers more client assets in July, but its stock sells off anyway....

Learn the Business of Philanthropy to Keep Assets  

Aug 12, 2010

By Jerry Gleeson

Want to keep maanaging assets your wealthy clients intend to give away? Learn the business of charitable giving....

On the ETF Death Watch 

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. ...

Not Every Recovery Looks the Same, a Q&A with a Bullish Value Manager 

Aug 10, 2010

By David A. Geracioti

Craig Callahan, president and founder, ICON Advisers, a value manager based in Denver, is bullish despite the recent 16 percent drop from the April highs to the early July lows. Recently, Registered Rep. editor sat down for lunch with Craig to get his—as usual—quant-influenced and very often contrarian views on the stock market. ...

How One BOM Retains Top FAs  

Aug 9, 2010

By Susan Konig

UBS Advisors Welcome Mortgage Rollout  

Aug 6, 2010

By John Aidan Byrne

Financial advisors at UBS Wealth Management Americas closely watched this week as the U.S. brokerage rolled out plans to sell more of its own mortgage and lending products through its retail brokerage force. While the mortgage market has recently spelled trouble for Wall Street (think delinquent loans, toxic mortgaged-backed securities) UBS is calculating that the worst is over. Most UBS advisors, looking for added revenue in a competitive market, welcomed the UBS push....

Poll: Clients Love Breakaway Wirehouse Brokers  

Aug 5, 2010

By Jerry Gleeson

Breakaway wirehouse advisors never walk alone. A new report by Aite Group on the independence movement shows that reps from the big houses demonstrate superior client retention when they leave their employers. ...

Listen To Your Clients 

Aug 4, 2010

By Anne Field

How to ask for client feedback and what to do when you get it. ...

When Teams Fall Apart 

Aug 3, 2010

By Mindy Diamond

Getting all of the members of a team to agree to switch firms together can be a major challenge....

Filling The Talent Gap With Private Bankers  

Aug 2, 2010

By Anthony Riotto

Private bankers can make a great fit for retail brokerage houses, but some hurdles must be overcome first....

RIAs Keep Up M&A Momentum  

Jul 29, 2010

By Halah Touryalai

A total of 40 M&A deals, representing $30 billion in assets under management acquired, were completed in the RIA channel in the first half of 2010. That’s the strongest first half on record in terms of deal volume, according to Schwab Advisor Services which started tracking the data in 2003. There were 16 deals completed in the second quarter compared with 24 in the first quarter this year. ...

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