This week, Kevin Matras looks at sales growth and increasing profit margins—a powerful combination for big returns. Learn more, and get 3 new stock picks.
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RIAs are winning. No. Wait. Wirehouses are winning more assets, but RIAs are growing faster. Well, nevermind. It’s tough to tell these days. But whoever the winner is, there’s no doubt both industries are striving for the same things: clients, assets and talent...
The proposed FINRA rule would change current practice-which renders arbitrations a virtual black box in which the arbitrators need not explain how they decide a case....
If you work for one of the major wirehouses, you're in pain. If you're a commission-based rep, business is slow. And if you are a fee-based rep, your...
Bear markets are shrinking. According to Leuthold Weeden Institutional Research, in a typical post-WWII bear market, the S&P 500 declined 30 percent over...
Playing hopscotch from one firm to another, without losing all of your clients, may soon get a little easier. That is, if the SEC's proposed amendment...
Just over a year ago, fee-based brokerage accounts got the ax when the Financial Planning Association (FPA) successfully sued the SEC to overturn the...
Wilkes Thomas Martin III joined Morgan Keegan & Co., Inc. as a financial advisor and senior vice president in the firm's Greenville office. Prior to joining...
Consider the Curious and Rather Grotesque Case of Gary J. Gross, a financial advisor from (where else?) Boca Raton, Fla. Gross' U4 is close to 100 pages...
RegentAtlantic Capital was ahead of the game. In 1996, the fee-only RIA in Chatham, N.J., went paperless a move that put it a decade ahead of its peers....
Let's face it. Choosing an independent broker/dealer to join isn't easy. There are literally thousands, and each firm claims to offer the best. In a continuing...
Raymond James Financial Services 880 Carillon ParkwaySt Petersburg, FL 33716866.905.6333www.advisorchoice.com Number of Back-Office Employees*: 2,051...
First Allied Securities Advanced Equities Plaza655 W. Broadway, 12th Floor; San Diego, CA 92101619.702.9600www.firstallied.com /www.joinfasi.com Number...
Wachovia Securities Financial Network One North Jefferson; St Louis, MO 631031.866.485.5383www.wsfinet.com Number of Back-Office Employees*: 7,000 Number...
Cambridge Investment Research, Inc. 1776 Pleasant Plain Road; Fairfield, IA 52556800.777.6080www.joincir.com Number of Back-Office Employees*: 245 Number...
Academics have long scorned actively managed mutual funds. Instead of spending money on managers who attempt to beat the market (however that is defined),...
Are closed-end fund preferred-auction securities safe? We consider CFPs to be the conservative's conservative security. Defaults are even rarer than failed...
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