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Registered Rep.
July 1, 2004
Gregg Wirth |
It's the Advice, Stupid The NASD's probe definitely has many brokers and branch managers in the industry nervous. They are unsure exactly what regulators are looking for, what constitutes a violation and what, if any, penalties could be levied.   |
Registered Rep.
July 1, 2004
Alan Plummer |
The Cutting Edge Whether you pay a professional to handle these tasks for you, or you choose to do them yourself, creating a secure office is essential for any advisor. |
Registered Rep.
July 1, 2004
Stan Luxenberg |
The Problem With a Long Life Academics are stepping forward, seeking to describe portfolios that will produce maximum returns while ensuring that retirees don't outlive their assets |
Registered Rep.
July 1, 2004
Bob Hirschfeld |
Fertile Fields Rarely will you find a more obvious-sounding investing tip than this: Those seeking growth opportunities should look to agriculture. |
Registered Rep.
July 1, 2004
Matt Barthel |
What Lies Beneath Charles de Vaulx, the senior vice president of Arnhold and S. Bleichroeder Advisers, speaks about the challenges facing him and his funds in the coming years. |
Registered Rep.
July 1, 2004
David Geracioti |
Educate Yourself on the Beach Book reviews: A History of Interest Rates... A Random Walk Down Wall Street: The Time-Tested Strategy for Successful Investing... Pioneering Portfolio Management: An Unconventional Approach to Institutional Investment... etc. |
Registered Rep.
July 1, 2004
Bill Singer |
Alone In a Crowd Registered reps cannot count on their firms or the regulators to look out for them. Indeed, there's an argument to be made that these institutions cannot be relied upon to use common sense. |
Registered Rep.
July 1, 2004
Daniels, Leibell & Prince |
Founder's Day Conundrum With good planning, a founder can move significant value out of his estate with little or no gift- or estate-tax cost. Here are five pre-IPO strategies financial advisors can employ to protect a company founder's future gains. |
Registered Rep.
July 1, 2004 |
A Question of Class Are brokers responsible for the conversion of A-share mutual funds into accounts that charge a wrap fee?... Is it irresponsible for a financial planner to roll a 401(k) account into a qualified annuity when employment is severed?... |
Registered Rep.
July 1, 2004
Susan L. Hirshman |
Rollover Advisor Man In some cases, better even than an IRA is a managed account, which lets clients benefit from a variety of special features not commonly available in 401(k) plans or traditional IRA rollover accounts. |
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