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Registered Rep.
January 1, 2005
Bob Hirschfeld |
The Bear Lives Now is the time to armor-plate your portfolio, that is, to lower risk and survive to fight another day.   |
Registered Rep.
January 1, 2005
Anne Field |
Poor Little Rich Kids With a horde of competitors pursuing the same market, and with statistics showing that the highly affluent trust financial advisors less than ever before, winning and retaining wealthy accounts requires delicacy, savvy and, most of all, smart marketing. |
Registered Rep.
January 1, 2005
Shaw Grove & Alan Prince |
Does Branding Still Matter? Are today's high-net-worth clients attracted or, at best, ambivalent, to big name financial services firms? |
Registered Rep.
January 1, 2005
Jennifer Woods Burke |
Not in My Name Under limited circumstances, NASD Rule 2130 allows registered representatives to erase histories of disputes with customers from the CRD system. |
Registered Rep.
January 1, 2005
Robert S. Bernstein |
Annuity Alternatives Planners now have a powerful alternative to offer clients who desire to fund deferred-compensation plans on a tax-efficient basis, but who do not want to use variable life insurance policies and annuities. |
Registered Rep.
January 1, 2005
Bill Singer |
For the Record An on-the-record interview with the NASD is much less fearsome (and dangerous) when handled correctly. Given that they are becoming more common, it's worth taking a few minutes to understand a rep's rights and obligations. |
Registered Rep.
January 1, 2005
Mindy Diamond |
A Clean Escape, With an Accomplice Brokers tempted to leap at a lucrative job at another firm are often held back by inertia, but in increasing numbers they are finding the powerful force they need to get moving: hungry branch managers. |
Registered Rep.
January 1, 2005
Matt Oechsli |
Your Year of the Affluent The coming year will bring forth unprecedented opportunities to attract wealthy clients. |
Registered Rep.
January 1, 2005
Kevin McKinley |
Flip-Flopping on FLPs In the right situation, the family limited partnership is unrivaled among estate-planning strategies. |
Registered Rep.
January 1, 2005
Brittany Quaid |
Where Ethics Don't Exist Fee-based arrangements are not right for all clients, and it's unethical (and illegal) to advise unsuitable clients to convert to them. |
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