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Registered Rep. January 9, 2007 David A. Geracioti	Desperately Seeking Advisors for Rep.'s 27th Annual Outstanding Advisor Awards Now in its 27th year, the OAAs are awarded to 10 veteran financial advisors who exemplify the highest standards of professionalism.
Registered Rep. January 1, 2009	Edit Letter: Calling All Outstanding Advisors Ten veteran financial advisors who exemplify the highest standards of professionalism and are active in charitable activities will be chosen as Outstanding Advisors.
Registered Rep. March 1, 2003 David A. Geracioti	In the Crosshairs An army of lawyers are about ready to file suits on behalf of aggrieved retail investors who claim to have lost money because of the conflict-of-interest scandal.
Registered Rep. June 16, 2011	New on RepTV: Advisor Insights In our "Advisor Insights" video series, Registered Rep. senior editor Jerry Gleeson sits down with advisors from across the country to find out what individuals are doing on a daily basis to improve their own businesses.
Registered Rep. February 2013 David A. Geracioti	Editor's Letter: February 2013 The editor thanks financial advisors for their survey participation and talks in more detail about the firms that took part.
Financial Planning November 1, 2010 Marion Asnes	The Influencers Please join me in a heartfelt congratulations to all of our 2010 Financial Planning Influencer Award winners. We hope to award you next year.
Registered Rep. June 1, 2007	The Great Re-Sell How will registered reps re-position themselves with clients who have fee-based brokerage accounts?
On Wall Street January 1, 2013 Alan J. Foxman	Holding On to a Series 7 Securities License After Leaving a Broker-Dealer Our legal expert explains how to keep a Series 7 license fresh after moving from a broker-dealer.
Bank Technology News April 2011	The 2011 Innovators Awards Nominees are being accepted for The 2011 Innovators Awards. For the 10th year in a row, the magazine will honor the people, companies and technologies that are pushing the industry forward with their innovative thinking, strategies, products and implementations.
Registered Rep. November 4, 2011 John Aidan Byrne	Rep-as-Portfolio Manager Programs Taking Off Despite the compliance hurdles, more than one third of financial advisors see direct handling of clients' assets by FAs acting as their portfolio managers clearly outpacing other fee-based management styles in the next three years.
On Wall Street September 1, 2011 Nick Georgis	Taking The Hybrid Road As more advisors transition to independence these days, a growing number of them are choosing to adopt a hybrid business model that lets them conduct both commission-based brokerage business and fee-based advisory business. For many advisors, the hybrid road may offer the best of both worlds.
Investment Advisor March 1, 2011 Peter Montoya	Ten Marketing Strategies for New Advisors Times are tough, but these real-world strategies can help get a new -- or struggling -- advisory practice off the ground.
Registered Rep. October 13, 2011 John Aidan Byrne	Financial Advisors Embrace Mobile Computing Financial advisors are finally catching up with their clients in mobile computing.
Investment Advisor May 2007 Kara P. Stapleton	What Millionaires Value According to Fidelity Registered Investment Advisor Group's recently released survey, financial advisors play a critical role in helping millionaires meet their investment needs, but 30% of those wealthy surveyed do not currently use an advisor.
Bank Systems & Technology November 30, 2003 Cynthia Ramsaran	BankOne Awards Top IT Suppliers Bank debuts award ceremony to honor solution providers for outstanding performance.
Registered Rep. March 29, 2012 Jerry Gleeson	Social Media Works, Advisors Say Social media is gaining momentum with financial advisors, new research by Registered Rep. and wealthmanagement.com shows.
Investment Advisor February 2007 Thomas D. Giachetti	When Should You Register? Should an investment advisor with $30 million of "assets under management" register with the SEC? It depends on whether the advisor has "qualifying" assets under management.
Registered Rep. March 1, 2007	How Sweet It Is? A recent survey ranked financial advisor as the third-best job in the U.S.
Search Engine Watch February 9, 2004 Sullivan & Sherman	Search Engine Watch 2003 Award Winners Search Engine Watch has released its annual list of outstanding web search services for 2003. Your favorite search engine is among them, but there were also some surprises and controversial predictions for the coming year.
Registered Rep. September 15, 2009 John Churchill	Victims of Florida Broker Gary Gross Get $7million The plaintiffs' attorneys are calling the award one of the biggest FINRA awards ever against an individual broker.
Investment Advisor March 2006 Melanie Waddell	The Playing Field: Here, There and Everywhere Dually registered advisors (advisors who are registered with both the SEC and the NASD, and are collecting both fees and commissions) have the best -- and worst -- of both worlds. However, a new study shows when implemented properly, the hybrid model can be very profitable.
Registered Rep. January 1, 2006 Kristen French	What's in a Name? Financial advisor is the name most of the other wirehouses use for their registered reps these days. It reflects the industry's attempts to transform its reps from commission-based stock jockeys to fee-based relationship managers.
Registered Rep. March 31, 2015 David Armstrong	Editor's Letter: April 2015 Power in finance has shifted toward the retail financial advisor, and that's a good thing.
Financial Planning January 1, 2007 Mike Suppappola	Compliance Tips Solicitation agreements have been around for decades. These relationships present myriad compliance issues, and advisors should keep in mind the following regulatory requirements.
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. May 14, 2004 John Churchill	Whom Do You (Trust) The brokerage business is good --- or better, at least. The market is climbing slowly, firms are showing a profit and hiring again (albeit after massive layoffs), and, according to industry studies, affluent investors are in search of advice.
Registered Rep. April 7, 2011 John Aidan Byrne	Report : Wealth Management Firms To Jack Up CRM Spend Wealth management firms are expected to invest heavily in customer relationship management technology over the next three years, according to a new report from Aite Group.
Financial Advisor November 2010 David Lawrence	Back In The Fold? Will the new regulations force independents to return to broker-dealers?
Financial Planning November 1, 2011 David E. Adler	The ABCs of Planner Titles Do you know your REBC from your CEBS, your CIMA from your CMA, and your PFS from your RFC?
T.H.E. Journal September 2005	SIIA Issues Call for Codie Nominations The Software and Information Industry Association is accepting nominations for the 2006 Codie Awards.
Registered Rep. February 23, 2009 Christina Mucciolo	Morgan, Smith Barney Reps Get Retention Awards, NOT Bonuses Top producers at both firms stand to receive as much as 105 percent of trailing twelve month production to stay with the joint firm.
Registered Rep. December 19, 2008 Christina Mucciolo	Merrill Tweaks Grid; Lowers It For Smaller FAs Merrill Lynch executives released the 2009 Financial Advisor Comp Plan -- with good news and bad.
Registered Rep. June 1, 2005	A Hit with the Rich The percentage of high-net-worth households naming a registered investment advisor (RIA) as their primary advisor rose to 46% in 2004 from 30 percent in 2001. The growth came at the expense of the wirehouses.
Registered Rep. August 26, 2010 John Aidan Byrne	Neck And Neck, Morgan and Merrill On Hiring Sprees Both firms say they plan to add net financial advisors in 2010, adding to stated plans to sign up 2,000 trainees each this year.
Registered Rep. December 8, 2015 David Armstrong	Editor's Letter: December 2015 The job of an advisor inside the Wall Street firm has changed along with the rest of the industry. It has evolved to a position of greater independence and autonomy, even in the employee model.
Bio-IT World August 2005 Kevin Davies	Special Report: Bio-IT World Best Practices 2005 Each year, the Best Practices awards program spotlights examples of the most outstanding innovations, technologies, and practices in the drug discovery pipeline.
Registered Rep. May 9, 2011 Gleeson & Britton	New SEC Disclosure Rules Dismay Some Advisors; Advisor Disciplinary Histories in Welcome Packets New SEC rules that require federally-registered advisors to disclose their disciplinary histories in brochures and provide them to clients will get under way in earnest by the end of the summer.
Financial Planning November 1, 2011 John J. Bowen, Jr.	Learn To Let Go The idea of shedding clients and the revenue they bring may sound reckless, especially in an uncertain economic environment. But working with non-ideal clients is holding you back from reaching your full potential.
AFP eWire July 7, 2009	AFP Award Nominations Due July 15 There are some significant changes that were made to certain awards categories for AFP's 2009-2010 awards programs.
Registered Rep. May 17, 2011 Diana Britton	Advisors Promised the Moon, But Get Hard Cheese Most advisors said they had been recruited to a broker/dealer at one time or another based on promises that the firm later could not deliver on.
Investment Advisor March 2006 Melanie Waddell	Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away.
Financial Advisor September 2005 Bruce W. Fraser	How To Survive The SEC Assault Advisors cite a new, more demanding compliance environment. Despite the extra financial and time burden, many advisors feel much better about their businesses, having gone through the compliance process.
Investment Advisor August 2010 Thomas D. Giachetti	The Compliance Coach: Independent Advisors: Don't Violate the Protocol There are two major issues for a registered representative to consider when deciding to leave a firm and go independent. The first is how to leave. The second is appropriate registration and ongoing regulatory complance requirements.
On Wall Street December 1, 2010 Denise Federer	Creating Better Branch Manager Relationships Have you ever considered the role your branch manager's actions play in your success and satisfaction as a financial advisor?
On Wall Street June 1, 2012	Five Questions With Stephen Wershing Forget about asking for referrals. That's the advice of former financial advisor Stephen Wershing, CFP. He tells us how advisors can reorder their thinking.
Registered Rep. May 4, 2011 Kristen French	Edward Jones Aims to Quadruple Veteran Hires Long known as a firm that trains greenhorns and career changers from the ground up and then holds onto them for life, the firm is getting serious about recruiting financial advisors with experience.
Registered Rep. October 1, 2002 David A. Geracioti	Outgrowing the Series 7? Registered investment advisors must take the Series 65 exam. As the line between brokers and financial advisors blurs, what responsibilities do brokers that dispense advice and collect a fee based on assets have?
Financial Planning April 1, 2006 Pamela Black	Industry notes: Schwab Awards The awards seek to hold out what really is excellent to the entire financial planning industry so firms can learn what the best of best are doing. It's a unique opportunity to highlight what these firms are like.
Information Today August 4, 2015	The Open Data Institute's Open Data Award Finalists Winners were chosen in five categories.
Financial Planning June 1, 2007 Kathy Gevlin	Advisor Pulse The happiest financial advisors really do put their clients first, asserts the first study of advisor satisfaction.