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Registered Rep.
November 1, 2006
Kevin Burke |
The Trouble with Performance-Based Fees Performance-based fees have made their way into a small crop of mutual funds in the past couple of years, as investors have begun scrutinizing fees and fund boards look to align the interests of fund management and investors.   |
Registered Rep.
November 1, 2006
Christopher O'Leary |
Bust a Move...Cleanly Many registered reps have learned that the process of leaving a big firm can turn into a long, painful, litigious and even terrifying ordeal. From the moment you decide to leave a wirehouse, every move you make needs to be right. |
Registered Rep.
November 1, 2006
Halah Touryalai |
The Entrepreneur Equation Many a rep dreams of going independent, if only for a minute. But is it worth it, especially these days when most firms are offering record upfront signing bonuses? |
Registered Rep.
November 1, 2006
Susan Konig |
A Big Trade Off? For advisors looking for further independence through a registered investment advisory firm, compliance burdens can increase. Reps working under an independent b/d's umbrella RIA, also known as "dually registered" advisors, must comply with both NASD and SEC rules. |
Registered Rep.
November 1, 2006
Halah Touryalai |
The Indie Man An interview with John Simmers, CEO of ING Advisors Network, about his multiple duties, including issues facing his firm and others like it, as well as recent attacks on the NASD's credibility as a voice for small firms. |
Registered Rep.
November 1, 2006 |
The Biggest Indie Platforms There are literally thousands of broker/dealers. Here is a list of the 20 largest: Linsco/Private Ledger... HD Vest Financial Services... Raymond James Financial Services... etc. |
Registered Rep.
November 1, 2006
Anne Field |
The Right Stuff Dan Moisand, president of the Financial Planning Association and a principal in Spraker Fitzgerald Mayo & Moisand, discusses how boutique broker/dealer and financial-advisory firm can recruit more advisors who can work with high-net worth clientele. |
Registered Rep.
November 1, 2006
Susan Konig |
Take Their Measure If you're a financial advisor, you've probably asked yourself more than once, how can I build the perfect book of clients? You might think that getting there is as simple as eliminating all but your highest-net-worth clients. But not all advisors want to take this step -- or should. |
Registered Rep.
November 1, 2006
Tami Kamin-Meyer |
To Market, To Market With so many financial firms competing for the same clients these days, it's important to have an effective marketing strategy. Here are a few things to keep in mind when you're developing that master plan. |
Registered Rep.
November 1, 2006
Stephen P. Brown |
Marketing the Traditional Commissioned-Based Practice How does a commission-based broker go about finding clients in today's fee-obsessed environment? In fact, commission brokers have some advantages when it comes to advice on individual securities, cost, tax management and a unique investing approach. |
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