Bank & Financial

Magazine articles on banks, brokerages, and credit card companies.

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Registered Rep. December 1, 2006 Christopher O'Leary	Saving the Entrepreneur From Himself For financial planners, showing a business owner the value of his company -- the potential lump sum from a sale -- can focus the mind.
Registered Rep. December 1, 2006 Lynn O'Shaughnessy	The ABCs of ESOPs Too many advisors are unfamiliar with employee stock ownership plans. Mastering how this obscure qualified retirement plan works can ultimately benefit at least some of your clients, especially those who have a great deal of their net worth tied up in their own businesses.
Registered Rep. December 1, 2006 Anne Field	The Metamorphosis If you are ready to go out on your own as a registered investment advisor, you're likely to encounter a host of tricky problems and stumbling blocks. Here's a look at five of those problems and what you can do about them.
Registered Rep. December 1, 2006 Lisa Cohen	True Innovation or Mere Fashion? The long list of new ETFs launched in 2006 makes one wonder: Will all of these new funds really find a large audience? It all comes down to the financial advisor.
Registered Rep. December 1, 2006 Ann Therese Palmer	Know When to Hold 'Em, Know When to Fold 'Em Q: I've been a certified financial planner and investment advisor rep for six years. What are some do's and don'ts for a client-appreciation event that I might not know about?... A: here is nothing like a good poker game to raise all types of ethical quandaries for people in the securities business...
Registered Rep. December 1, 2006 Gresham & Gresham	Diagnosing Your Prospects' Pressure Points Millionaire Hot Buttons The end of each calendar year provides a natural setting for serious prospecting. So how can financial advisors use this moment to capture additional assets and referrals?
Registered Rep. December 1, 2006 Janet Arrowood	Life Settlements: Bad Rap, Good Business Regulatory attention to life settlements has intensified as they have taken off in the past few years, and more lawsuits are expected. Despite the bad rap, there are some legitimate and valuable uses of life settlements for advisors and their clients.
Registered Rep. December 1, 2006 Bill Singer	The Guessing Game If the NASD wishes to dispel the notion that it is biased against smaller members, then it should adopt the NYSE's policy. Unless, of course, it has something to hide.
Registered Rep. December 1, 2006 Mindy Diamond	Catching the Big Fish It takes time and tenacity to become a great branch manager who can attract and close the big producers and successful teams. Recruiting skills are among the key criteria brokerage firms use to evaluate and compensate managers.
Registered Rep. December 1, 2006 Matt Oechsli	How to Talk to Wealthy Folks The rich are different, as they say. And that applies to how they talk -- and how they want to be talked to. Less jargon is better... More direct and straightforward is better... More rehearsed and practiced is better... etc.
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