How One BOM Retains Top FAs  

Aug 9, 2010,

By Susan Konig

BOMs Work More, Earn Less 

Jul 12, 2010,

By Susan Konig

A focus on increasing profitability has forced many firms to assign branch managers to more than one branch. Those who’ve managed to keep their jobs have been “rewarded” with huge pay cuts. ...

Securities America Launches A Facebook Of Sorts For Branch Managers 

Apr 12, 2010,

By Susan Konig

Times are tough for branch managers. And, like many people facing challenges, there’s often much to be gained by the support of your peers (hence, the existence of this newsletter). ...

Branch Managers Matter, Especially In Novice Training 

Mar 10, 2010,

By Andre Cappon, Guy Manuel, Stephan Mignot*

In all financial advisory sales forces—from stockbrokers to insurance agents to financial advisors and planners—trainee or “novice” producers go through an early career phase of three to four years, during which they learn the business, build a clientele and prove to themselves and to their employer that they are ready for a challenging but rewarding career....

Branch Mangers—Produce and Protect Yourselves 

Feb 11, 2010,

By Susan Konig

Two decades ago, producing branch office managers were pretty typical in the financial advisory industry. But mounting compliance issues made it very difficult for BoMs to do their jobs and hold on to a book of clients. Now, the clock seems to be rolling back to that earlier time. ...

Some Branch Managers Forced To Produce 

Oct 23, 2009,

By Susan Konig

In an effort to cut costs, some brokerage firms such as UBS and Morgan Stanley Smith Barney are restructuring their branch office organization and changing the rules about which managers must generate production. Consultants and recruiters are split over whether other firms will follow their lead, and whether requiring some branch managers to begin producing is even a good idea....

Helping Advisors Talk Clients Down Off The Ledge 

Oct 9, 2008,

By Susan Konig

After an absolutely dizzying few weeks on Wall Street—which have included a chain of bank failures and near failures, several uncertain rescue attempts and the largest one-day point drop in the Dow Jones Industrial Average ever—financial advisors and investors are exhausted. ...

Regulators’ Top Ten Problems List 

Sep 12, 2008,

By Susan Konig

Lehman Brothers is on the ropes, and other financial firms are reeling....

Branch Office Manager Newsletter Headlines 

Jul 10, 2008

Managing Stressed-Out Advisors 

May 8, 2008,

By Susan Konig

The good thing about the financial advisors you manage is that they tend to be ambitious, Type-A personalities...

Staying Sane: Helping Your Reps Survive this Tumultuous Market 

Apr 10, 2008,

By Susan Konig

The sub-prime mortgage lending crisis and resulting market tumult isn't just taking its toll on investors: A nearly constant flow of bad economic news from the media is shaking up advisors, too. ...

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In This Issue: September 2010

Cover Story

Outgrowing The Series 7

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



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