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Registered Rep.
January 1, 2003
Will Leitch |
Fahnestock Thinks Big In a downturn, some firms scramble to get out of the business. Case in point: The sale of CIBC Oppenheimer's retail brokerage and asset management business to New York-based Fahnestock Viner Holdings, for $257 million.   |
Registered Rep.
January 1, 2003
Ross Tucker |
Let's See Those Credentials For the thousands of reps who have found themselves unemployed since industry employment peaked in 2000, the matter of retaining one's license to sell securities is a potential issue. |
Registered Rep.
January 1, 2003
David A. Gaffen |
Merrill Takes it To the Bank One of Merrill Lynch's major initiatives in the coming year will be to continue to attract clients to the firm's expanded banking service, known as Beyond Banking. |
Registered Rep.
January 1, 2003
Will Leitch |
Not Going Gently Into that Goodknight The day after his retirement in December, Edward Jones broker Jim Goodknight, 60, headed to the lake by his home in Joplin, Mo., to spend some well-deserved time fishing. Seeing him, it would be easy to forget that the unassuming Goodknight changed the way Edward Jones does business. |
Registered Rep.
January 1, 2003
Rick Weinberg |
UBS PaineWebber Cuts Bonuses, Expense Accounts Brokers at UBS Securities received a double hit of bad news in early December. Not only were they informed that the bonuses they receive for assets under management were being cut, but expense accounts are being trimmed as well. |
Registered Rep.
January 1, 2003
David A. Gaffen |
Wachovia Software Emphasizes Goals Wachovia Securities wants advisors to know where their clients want to be, not just where they are now. The firm plans early this year to unveil a new software package for its advisors to help clients figure out their retirement goals and the appropriate investments to get them there. |
Registered Rep.
January 1, 2003
Gaffen & Geracioti |
What's Going to Happen to the Rock? The Prudential unit seems like a serious candidate for a sale. It has been losing money and been a perennial under-performer. |
Registered Rep.
January 1, 2003
Stan Luxenberg |
Are Bond Funds Still Attractive? Advisors who are kicking the tires of bond funds these days might be entering the market too late. |
Registered Rep.
January 1, 2003
Jason Van Steenwyk |
Winning the "Loser's Game" Investing is an activity in which the victor often prevails because he makes fewer mistakes than his rival does. It is no different for financial advisors and your clients. |
Registered Rep.
January 1, 2003
Pam Black |
A Separate Reality The separately managed account revolution might well be sweeping the financial services industry. That transformation, while still somewhat slow, is inexorable, but also incomplete. So far, for the most part, SMAs aren't being used correctly. |
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