http://registeredrep.com/images/subscribe_thumbnail.jpg

DUE DILIGENCE: “Fee-based” is a Four Letter Word for Financial Advisor Clients  

Apr 1, 2012

By Kristen French

Are you a “fee-based” financial advisor? That is, an advisor who gets most of your revenue from fees on assets rather than commissions on trades? ...

DUE DILIGENCE: Now Pretty Much Everyone is Eating Your Lunch  

Apr 1, 2012

By Kristen French

Everyone, yes everyone, is now trying to offer financial advice to the clients of Wall Street retail brokerage advisors—especially the wealthy ones....

Human Behavior 

Mar 30, 2012

By Anne Field

Behavioral finance suggests investors are often irrational when it comes to money. Some financial advisors are having great success incorporating the principles of behavioral finance with clients....

Comings & Goings: April 2012 

Mar 30, 2012

By Diana Britton

YIELD OF DREAMS: The Votes Are In - The Best and the Rest Among IBDs  

Mar 30, 2012

By Diana Britton

Commonwealth Financial Network snagged the top spot for the second time in a row in J.D. Power and Associates’ 2012 U.S. Financial Advisor Satisfaction Study, with an overall satisfaction score of 917 out of 1,000. ...

YIELD OF DREAMS: New Study Says You Are Biased, But Are You Really?  

Mar 29, 2012

By Diana Britton

It has long been debated in this industry whether commission-based advisors are doing what’s in the best interest of their clients, or simply piling them into the investments that gives them the most fees....

Social Media Works, Advisors Say  

Mar 29, 2012

By Jerry Gleeson

Moving beyond the hype and regulatory angst, financial advisors are landing new clients via social media, according to Registered Rep.’s latest research....

Freeney Fleeced?  

Mar 28, 2012

By Diana Britton

Former Merrill Lynch financial advisor accused of helping steal $2.2 million from Indianapolis Colts’ Defensive End....

TRUSTS & ESTATES: April is National Financial Literacy Month  

Mar 28, 2012

By Lena S. Rizkallah

As financial advisors, attorneys, CPAs and estate planning practitioners, we know that the keys to a successful financial future are setting goals and planning. In fact, our businesses depend on guiding individuals and families to help them create their financial and estate plans....

YIELD OF DREAMS: The ABCs of Teaming with CPAs  

Mar 28, 2012

By Diana Britton

About a year ago, Kevin Graham, an advisor with Princeton, N.J.-based Princeton Retirement Planning, teamed up with Jose Selaya, a CPA in Elizabeth, N.J. Selaya had been Graham’s personal accountant for over 20 years, and one day Graham approached Selaya with the idea....

5 Ways Financial Advisors Can Engage Women Clients  

Mar 28, 2012

By Jerry Gleeson

Your female clients may have a lower opinion of your skills than you think, according to research. If you don’t learn to communicate with female clients, you are putting much of your business in jeopardy. ...

Branch Managers Are Key For Aggregator Growth  

Mar 28, 2012

By Charles Paikert

It’s no secret that in the wirehouse world, branch office managers aren’t getting the respect or authority they once enjoyed. ...

Management Shakeup at UBS Wealth-Management Americas  

Mar 27, 2012

By John Aidan Byrne

A management shakeup by CEO Bob McCann at the Americas brokerage unit of Swiss bank UBS AG will see two of his top executives assume more direct responsibility over its financial advisors, according to people familiar with the changes....

YIELD OF DREAMS: The 10 Most Misleading ETFs  

Mar 26, 2012

By Diana Britton

What’s in a name? These ETFs share one thing in common: snazzy sounding names that don’t reflect what the funds actually invest in....

YIELD OF DREAMS: New Allied Beacon OSJ Has Big Expansion Plans  

Mar 23, 2012

By Diana Britton

Cabot Lodge Securities, a newly formed office of supervisory jurisdiction of Allied Beacon Partners, plans to open three new offices on the East Coast over the next couple months. Stephen Rooney, vice president of national sales, training and recruiting, hopes to get to 100 advisors by the end of this year, and 300 by 2014. ...

THE INTELLIGENT INVESTOR: Flaws In Traditional Fund Research Should Not Be Tolerated  

Mar 23, 2012

By David Trainer

My top-rated mutual fund is GMO Trust: GMO Quality Fund (GQLOZ). It is one of only four funds (out of 7400+) to get my Very Attractive rating. It gets my top rating because 68% of the fund is in Attractive-or-better rated stocks and none of the fund is in Dangerous-or-worse rated stocks. My report has all details....

INSIDER INSIGHTS: Betting On Backup  

Mar 23, 2012

By Jonathan Moreland

A busted IPO, an attractive business model, and broad-based insider buying are the pillars in place for Carbonite (CARB: Nasdaq). Shares are attractive by a variety of metrics, possibly due to understandable competitive concerns. But we spot value, and have followed insiders into these beaten-down shares....

Amid Hartford Split, Woodbury’s 1,600 Reps Face Tough Choice  

Mar 23, 2012

By Diana Britton

The decision to put the b/d on the block took many by surprise. So will Woodbury’s reps stick around to find out who the new owner will be? ...

DUE DILIGENCE: Private Banks Encouraged to Eat Your Lunch  

Mar 22, 2012

By Kristen French

Looking for the sweet spot? You will likely find it among a group McKinsey & Company is calling the Core Millionaires, the 4.2 million households in the U.S. with between $1 million and $10 million in assets....

10 Ways to Make Social Media Work for Advisors  

Mar 22, 2012

By Stephen Boswell & Kevin Nichols

When it comes to social media, advisors have a resounding question, “How do we actually use it and how do we get value from it?” We decided to answer this question by giving you real ways our clients use social media every day... ...

YIELD OF DREAMS: The Hartford Breaks Up Businesses to Satisfy John Paulson  

Mar 21, 2012

By Diana Britton

Insurance giant The Hartford announced today that it will exit the annuity business and sell off its life insurance, retirement plan and independent broker/dealer (Woodbury Financial Services) units. ...

REP. READERS WRITE: Financial Confidence In Retirement  

Mar 21, 2012

By Mitchell Kauffman

As more Baby Boomers approach their Golden Years they are faced with a plethora of challenges. Especially for those with greater resources, the issues can be formidable. To the extent that these are effectively addressed, the promise of those Golden Years can be more readily achieved with less stress both during and after the transition....

THE INTELLIGENT INVESTOR: The Most Attractive ETFs  

Mar 21, 2012

By David Trainer

My ratings on ETFs are unique because they are based on my stock ratings for each of a fund’s holdings....

Money Market Debate Still Heated Despite SEC Call for ‘Constructive Dialogue’  

Mar 21, 2012

By Diana Britton

The SEC accuses financial services firms of “unconstructive disengagement” when it comes to further proposed regulations for money market funds. ...

VON ALDO: Retail Investors Finally Embracing Equities? Nah.  

Mar 21, 2012

By David A. Geracioti, Editor-in-Chief

Last week the iShares Barclays 20 Year Treasury ETF (Ticker: TLT), which tracks longer-dated paper, fell by 4.1% in the week. ...

Previous | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 | 11 | 12 | 13 | 14 | 15 | 16 | 17 | 18 | 19 | 20 | 21 | 22 | 23 | 24 | 25 | 26 | 27 | 28 | 29 | 30 | 31 | 32 | 33 | 34 | 35 | 36 | 37 | 38 | 39 | 40 | 41 | 42 | 43 | 44 | 45 | 46 | 47 | 48 | 49 | 50 | 51 | 52 | 53 | 54 | 55 | 56 | 57 | 58 | 59 | 60 | 61 | 62 | 63 | 64 | 65 | 66 | 67 | 68 | 69 | 70 | 71 | 72 | 73 | 74 | 75 | 76 | 77 | 78 | 79 | 80 | 81 | 82 | 83 | 84 | 85 | 86 | 87 | 88 | 89 | 90 | 91 | 92 | 93 | 94 | 95 | 96 | 97 | 98 | 99 | 100 | 101 | 102 | 103 | 104 | 105 | 106 | 107 | Next

Market Data

Market quotes are real time except where noted

Financial Services Company Watch List

Market index values delayed 15 min

Most Popular Stories

Client Prospecting Snapshot  

Zip Code
Net Worth Low
Net Worth High
*enter values without commas or "$" sign
(ex 1000)

Search results are a snapshot and is a limited use version of Prospect Generator© powered by WealthEngine.

Registered Rep. E-newsletters


About Us

Registered Rep. is the most trusted digital and print source for the retail investment professional, serving brokers, financial advisors, RIA’s, IBD’s, insurance, financial planners, and financial product companies with award-winning insight coverage of the brokerage, wealth management, fund and financial product industry as well as breaking news, data, rankings, and profiles.

Most Recent Blog Posts

Follow Us

Back to Top

In This Issue: May 2012

Cover Story

Advisors With HEART

Registered Rep.'s 32nd annual Altruism Awards.


View the full issue

Back Issues

Registered Rep. eNewsletters