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Registered Rep. October 1, 2005 Matt Barthel |
Insurance and the Generation Gap Reps historically have been reluctant to sell life insurance because of the steep learning curve associated with the products, and there is evidence that many still are hesitant to put forth the effort necessary to grasp the products' nuances.  |
Registered Rep. September 1, 2004 Namita Devidayal |
A Fitting Problem Having found the securities industry severely wanting in its policing of research conflicts, market-timing and fee disclosures, the regulators are looking to see if similar abuses exist in the insurance industry.  |
Registered Rep. September 1, 2004 Will Leitch |
For Advisors, 2003 Was a Better Year The fortunes of advisors took a turn for the better in 2003, according to the annual report from the Securities Industry Association.  |
Registered Rep. October 1, 2006 Janet Arrowood |
Protect Your Clients, Protect Yourself If registered reps don't sell their clients life insurance, someone else will -- and that's a risk reps probably shouldn't take. At least, that's one conclusion that can be drawn from the results of two separate studies.  |
Registered Rep. January 1, 2007 Nancy Opiela |
Love, Life...Insurance In general, life and health insurance are subjects financial advisors discuss reluctantly and infrequently. But they're tools that are essential to wealth management.  |
Registered Rep. September 1, 2005 Chris O'Leary |
The Trouble With Annuities For registered reps, annuities, one of the most lucrative and complex items in an advisor's repertoire, can appear to be a cure-all for clients. Clients seem to love them, because of the guaranteed income -- even if they don't understand them.  |
Registered Rep. October 1, 2004 Will Leitch |
The Rep's Ugly Friend As the industry continues its inexorable march toward "wealth management," advisors have had to add new tools to their workbenches. Among all of them, reps seem to have the most trouble getting comfortable with life insurance.  |
Registered Rep. June 1, 2005 John Churchill |
Wall Street's Big Curtain Call How baby boomer brokers move into retirement over the next 10 to 15 years will change the face of the industry in many ways.  |
Registered Rep. November 1, 2005 Janet Arrowood |
The Clash of Perception and Reality Findings from two separate studies highlight the fact that one of the largest inhibitors of insurance sales is a perception gap between clients and advisors. Here's how reps can help clients make the right choices.  |
On Wall Street September 1, 2010 Matthew Leung |
Here Today, Here Tomorrow - New Sources Of Income For Retirement It's official. Pensions and social security are no longer viewed as the primary sources of retirement income.  |
Registered Rep. January 1, 2007 |
Insuring Your Future with Insurance? Insurance is an important component of wealth management, and too few reps have made the effort to fit it into client portfolios. Insurance is something you need to know how to use.  |
Registered Rep. January 1, 2006 John Churchill |
More, More, More Faced with growing competition from other advice providers and fewer inherent advantages in the way of products and platform capabilities, wirehouse brokers will feel pressure to do more fee-based business and to make wealthier clients a bigger part of their practice.  |
Investment Advisor July 2008 Melanie Waddell |
Drivers of Annuity Sales Assets in annuities will jump to $2.9 trillion by 2012 -- a compound annual growth rate of 7.9% -- sparked by demographic trends and product development that addresses both guaranteed income and principal protection.  |
Registered Rep. May 18, 2010 Alan Lavine |
No-Load Annuities Gain Momentum As more wirehouse registered reps join RIAs or start their own, as income tax rates rise, and as Baby Boomers continue their march into retirement, expect investments in no-load variable annuities to grow.  |
Registered Rep. May 1, 2005 |
60 Seconds With David Monday Wachovia Securities' new Individual Investor Group leader talks about his plans for the new division.  |
Registered Rep. March 15, 2011 Alan Lavine |
Reps Turn To Equity Index Universal Life Insurance Reps are turning to index universal life insurance to bridge the risk gap between low-rate permanent life insurance and riskier variable universal life.  |
Financial Planning September 1, 2008 Stacy Schultz |
Are the Times Changing? A new study shows that 75% of advisors say they provide a written plan for their clients' retirement planning. Read on to see more specifically what they are doing.  |
On Wall Street November 1, 2008 Elizabeth Wine |
Seeking Unsexy Annuities Annuities have received a bad rap of late for their high fees and confusing contracts. But as other investments tank, clients are once again looking for guaranteed income streams from their portfolios.  |
Financial Advisor June 2007 Thomas Scott |
What An Airline Crash Taught Me About Retirement Planning It doesn't take a catastrophic crash to cause significant injuries, in an airliner or in a retirement plan. As advisors, how can we best assure our clients will have an adequate income stream for their lifetimes?  |
Registered Rep. February 1, 2006 Kevin Burke |
Dinosaurs Roaming the Earth The days of a mutual fund wholesaler coming in, talking about performance and making light banter are mostly over. In fact, some asset managers are rethinking how the wholesaling process should look, from the ground up.  |
Registered Rep. February 1, 2006 Kristen French |
Both Sides Now Brokers who hold dual licenses -- both the Series 7 and Series 65 licenses -- will have to take fiduciary responsibility on some accounts. But they can also sell investments, after they make it crystal clear that they're doing so.  |
Registered Rep. March 31, 2015 Diana Britton |
The Rare Prop Product In REP.'s fifth annual Independent Broker/Dealer Report Card, only 19 percent of 2,058 advisors surveyed said they sell in-house or proprietary products.  |
Financial Advisor January 2004 Tracey Longo |
Reversal Of Fortune Independent brokerage firms experienced a turnaround in 2003.  |
Registered Rep. January 1, 2007 David A. Geracioti |
What Advisors Look Like Now Here are selected highlights from a reader survey selected from wirehouses, independent broker/dealers, RIAs, financial planners, bank brokers and insurance reps that offers a pulse from this demographic on business trends.  |
Registered Rep. September 1, 2005 Janet C. Arrowood |
Calling in a Specialist For reps wishing to sell more insurance, there is an option: leaning more heavily on an insurance specialist. Insurance is something that most clients need, and by supplying them with it, the advisor is fulfilling the most important part of his calling.  |
Registered Rep. November 1, 2005 Christopher O'Leary |
Creating an Escape Plan Independence has long been a dream of many wirehouse reps. But for the great majority of wirehouse pros, it remains simply that. Going independent is a proposition fraught with peril and is not to be taken lightly.  |
Registered Rep. June 1, 2007 |
The Great Re-Sell How will registered reps re-position themselves with clients who have fee-based brokerage accounts?  |
Investment Advisor June 2007 Savita Iyer |
Building Collaboration Reps of Securities America are thrilled with the company's new knowledge-sharing and peer support program, which makes use of the Internet so that reps can share their brain power with each other to enhance the business performance of their practices.  |
Registered Rep. April 29, 2009 Halah Touryalai |
Wirehouse Advisors Switch Firms in March The number of reps switching broker/dealers during the month was up 34 percent versus the number who switched in February.  |
Financial Planning June 1, 2011 Donald Jay Korn |
FP 50: Revenue Rising The money stream is flowing again: After two years of stagnant or, worse, shrinking revenue, the 50 largest independent broker-dealers report their annual revenues rebounded last year - significantly in many cases.  |
Registered Rep. May 1, 2007 |
The Great Reckoning Whatever the specific business impact the Merrill Lynch ruling may have, many see the return to pre-1999 rules as a chance for the brokerage industry, which has long avoided fiduciary duty for business and regulatory reasons, to overcome those obstacles and embrace it.  |
Registered Rep. September 13, 2010 Susan Konig |
Wirehouse Recruiting Stalls, Deals Keep Rising but Fewer Advisors Moving These days there are a lot more strings attached to recruiting packages and in the current market they're not great for brokers or firms.  |
Registered Rep. February 20, 2004 |
Extinct?: February's Cover Story Conferences were held to instruct reps in working as portfolio managers, and, in general, the improved technology made managing portfolios---and thus serving clients---a lot easier.  |
Registered Rep. July 24, 2006 John Churchill |
Despite Increased Competition, Rep Comp Stays Strong The brokerage industry is an increasingly difficult job market to break into, and an even harder one to stay around in. But for those who succeed, it continues to provide a pretty nice living, according to the SIA's 2005 Production and Earnings Survey.  |
Registered Rep. August 9, 2011 Diana Britton |
Insurer-Affiliated Reps Show Increased Interest in Selling Investments Advisors affiliated with insurance companies are not locked into the insurance commission mentality; many of them looking to diversify their sources of revenues with other types of investment products as well as AUM-based fees.  |
Financial Advisor March 2004 Tracey Longo |
Making The Grade With Variable Annuity Exchanges With the creation of one-shot wrinkle reducers like Botox, battery-operated automobiles and cloned humans, can a world where there is no need to replace variable annuities be far off?  |
Registered Rep. October 1, 2005 Christopher O'Leary |
It's in the Bank Wirehouse veterans who have switched to bank brokerages say Wall Street's perception of bank brokerages is stuck in the past, and that the best bank brokerages have become much more competitive in terms of production, assets and compensation.  |
Investment Advisor January 2006 Kathleen M. McBride |
Balancing Act The broker/dealer model is changing, spurred by business and regulatory pressures, and reps may stop talking to their clients.  |
Investment Advisor October 2007 Kathleen M. McBride |
A Shot in the Dark When giving advice on investments as full-service reps do, what is that worth as opposed to taking orders for execution as discount brokers do? It has been difficult to analyze whether full-service representatives are getting paid what they are worth, relative to their peers.  |
Financial Advisor March 2007 Raymond Fazzi |
Annuities Anew No-load variable annuities begin to attract interest among fee-based advisors.  |
Registered Rep. March 1, 2008 John Churchill |
Fix Advisor Laws! Laws should reflect the fact that the differences between registered reps and registered investment advisors have largely evaporated.  |
Financial Advisor July 2011 Gail Liberm |
Aiming For Advisors New annuity products and platforms are being designed to appeal to fee-only advisors.  |
Registered Rep. October 1, 2002 Pamela J. Black |
The Pros and Cons of Annuities With retirement accounts battered by the bear market, guaranteed income from a fixed annuity now has more appeal, especially for clients who may be too close to retirement to count on a rebound from equity markets alone. This article surveys types of annuities, tax implications, and fees.  |
Financial Advisor November 2011 Alan Lavine |
Finding A Floor Annuities gain traction in a world of low returns.  |
Registered Rep. November 1, 2005 John Churchill |
Merrill Carrot to Advest Reps Merrill Lynch has proffered retention packages to newly acquired Advest Group's financial advisors, and according to industry observers, the packages are having their desired effect.  |
Financial Planning August 1, 2010 Paul Menchaca |
Annuities From Bust to Boom With roughly 76 million baby boomers set to retire, the insurance industry could be poised to significantly grow its annuity market.  |
Registered Rep. May 1, 2006 Jennifer Popovec |
All Under One Roof Financial advisors are learning to focus on real estate, because clients whose advisors hold licenses will have less of a reason to stray. In fact, advisors may have an advantage over real estate agents.  |
Registered Rep. October 1, 2006 Stan Luxenberg |
The Best of Both Worlds Is the line between funds and annuities disappearing? Not yet; regulators and corporate bureaucracies insist on separating the two investments. But in the next decade, the distinctions could blur.  |
Investment Advisor September 2007 Kathleen M. McBride |
Around the Table The leaders of the 2007 Broker/Dealers of the Year speak frankly about their challenges and opportunities.  |
Registered Rep. June 1, 2006 Kristen French |
The Wealth Management Quest Are you really a wealth manager? Do you know what the phrase really means? It pays to know, because a new compensation report shows only 8% of advisors -- across all business channels -- actually fit the bill.  |