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Registered Rep.
March 1, 2007
Anne Field |
Meet Your Future Clients Studies show that today's crop of people in their 20's are unusually goal-oriented -- and interested in financial planning. It all adds up to a ripe market for the smart advisor who knows how to cultivate the opportunity.   |
Registered Rep.
March 1, 2007 |
Signature Guarantees A registered rep questions the use of its credit union's Medallion Stamp Signature Guarantee for a client's insurance company bank draft account. |
Registered Rep.
March 1, 2007
Bill Singer |
Don't Mess with Suspension Rules If you are like most working people, you go to the office every day. And, if you like your job, it can even be hard to stay away. But if you are a financial advisor and get a suspension from the NASD, don't give in to temptation. Stay away. Go on vacation. |
Registered Rep.
March 1, 2007
Mindy Diamond |
Of Myths and Moving: Revisited The thought of changing firms is a big step for any financial advisor. But don't let cloudy thinking get in your way. Make sure you stop paying heed to old Wall Street myths. Don't fear change. Embrace it. |
Registered Rep.
March 1, 2007
Matt Oechsli |
Business Goals: Motivators or Mirages? One of many problems with business plans in the financial-services arena is arbitrary or unrealistic goals. These kinds of goals are not motivators; they are mirages -- they provide only the illusion that serious planning for the future has been done. |
Registered Rep.
March 1, 2007
Kevin McKinley |
A Last-Minute Stop at the IRA Shop Advisors, due to a quirk in the calendar, this year's deadline for income tax filing and IRA/Roth IRA contributions is April 17. But just because there are some extra days available doesn't mean you should put it off. |
Registered Rep.
March 1, 2007 |
The Upstarts There are some upstart custody/clearing firms who are winning business from the behemoths. |
Registered Rep.
March 1, 2007
Christopher O'Leary |
Meet the New Davids Smaller clearing houses have an advantage in that they promise to keep out of any business that would directly challenge its client's own products and to stick to a core set of services that includes securities lending, custody/clearing and order-management systems. |
Registered Rep.
March 1, 2007 |
The Cost-Basis Headache The need to determine accurate cost basis on stock holdings is becoming increasingly critical for financial advisors. The difficulty of finding original cost-basis values for stocks has vexed investors for decades and shows little signs of abating. |
Registered Rep.
March 1, 2007
Ayres & Jones |
It Takes a Team When helping a family-owned business develop a succession plan, the financial advisor must act as the quarterback (checking his ego at the door) to get all the right people to cooperate. |
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