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Investment Advisor September 2009 |
Broker/Dealer of the Year, Division I Quick company stats of Prospera Financial Services.  |
Investment Advisor September 2009 |
Broker/Dealer of the Year, Division III Quick company stats of Sigma Financial Corp.  |
Investment Advisor September 2009 |
Broker/Dealer of the Year, Division IV Quick company stats of Woodbury FInancial Services.  |
Investment Advisor September 2006 Robert F. Keane |
The Investment Center If keeping your representatives satisfied is the name of the game for broker/dealers, then it's no surprise that Ralph DeVito and The Investment Center are the winning team in Division II this year.  |
Investment Advisor September 2006 |
Woodbury Financial services Woodbury Financial is a big firm, with nearly 2,000 producing reps, and a big corporate parent in the form of The Hartford. But a simple comment on a Broker/Dealer of the Year ballot from one of Woodbury's reps was instructive on the firm's personal appeal to reps.  |
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.  |
Investment Advisor October 2006 Kathleen M. McBride |
What Matters Most Results from a Broker/Dealer of the Year poll offer valuable tools for b/ds to see how they are doing, on average, among reps, and where there's room for improvement.  |
Investment Advisor September 2008 James J. Green |
You're the Tops In a comprehensive face-to-face discussion, the leaders of the Broker/Dealers of the Year explain their firms' unique charisma and how they plan to remain at the summit of their professions.  |
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.  |
Investment Advisor June 2010 Thomas D. Giachetti |
Independence's Issues There are four main challenges faced these days by independent broker/dealers.  |
Registered Rep. April 1, 2008 |
Meet the Indies Choosing an independent broker/dealer to join isn't easy. We speak with five heads of independent broker/dealers about their businesses, an why you should join them.  |
Entrepreneur April 2006 Kimberly L. McCall |
Break It Up If a customer calls to grouse about one of your sales reps, what should you do? Here are some ways to finesse this sticky situation.  |
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.  |
Registered Rep. December 11, 2003 David A. Gaffen |
Smith Barney Changes Payout Grid Smith Barney is altering its compensation system for 2004, with the main goal being to simplify its payouts and make them more product-neutral.  |
Investment Advisor September 2006 Melanie Waddell |
Next Financial Group Only seven years old, NEXT Financial has won broker/dealer of the year honors for the sixth year in a row, and did it in three different divisions as its rep force has grown.  |
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.  |
Investment Advisor October 2008 James J. Green |
Is Consolidation Finally Here? Several recent deals for mid-sized independent broker/dealers raises the question.  |
Investment Advisor June 2006 Green & Murphy |
Recruiting Wars: Freedom and Culture The underlying dilemma of independent broker/dealers and their reps -- interdependence versus independence -- is one of the main dynamics in play when it comes to recruiting reps.  |
Investment Advisor September 2010 James Manouse |
IA Soapbox: B/D Marketing Departments Are Wrong A marketing department must help to make the affiliated rep the dominant rep in their local area.  |
Financial Planning May 1, 2007 Andy Effron |
Practice Tips Finding time to recruit reps and grow your practice can be challenging. But if you're willing to supervise, perform audits and have a Series 24, you can potentially act as an Office of Supervisory Jurisdiction and collect overrides from reps.  |
Registered Rep. June 1, 2007 |
All About the Benjamins Reps say the darndest things.  |
Registered Rep. September 1, 2005 John Churchill |
The Battle at Home In today's competitive environment, it doesn't take long for a soldier/rep's book to fall prey to poachers.  |
Entrepreneur May 2006 Kimberly L. McCall |
The Price Is Right Advice on winning the price wars.  |
Investment Advisor September 2009 James J. Green |
How the Representatives Voted The year 2009 marked the 19th time that Investment Advisor asked its readers who are representatives of independent broker/dealers to rank their own B/Ds on 14 discrete categories, along with an overall rating.  |
Registered Rep. January 1, 2007 John Churchill |
Will Jones Wrap it Up? Buy-and-hold Edward Jones is considering a platform option it has long eschewed as foreign to the firm's culture: fee-based accounts.  |
Registered Rep. February 21, 2007 John Churchill |
Smith Barney Comp Pleasant Surprise Judging from initial reports from reps, the written version of the new plan is an improvement from the prior version -- a plan many reps equated to a pay cut despite the firm's insistence that it was "revenue neutral."  |
Registered Rep. June 1, 2005 John Churchill |
Weclome Aboard Recruiters say reps that are tiring of the pressure to convert their clients to fee-based arrangements have an alternative --- in the independent broker/dealer world.  |
Investment Advisor July 2006 Kathleen M. McBride |
B/d Briefing: Two Faces of Wall Street Few financial professionals expect to work a 40-hour week on Wall Street. So it was surprising to see the extent of rep participation in class-action lawsuits over broker overtime, and the astounding settlements that have been awarded.  |
Registered Rep. December 1, 2005 Kristen French |
Merrill Lynch: Still Wirehouse Queen Merrill reps like what they see. This year, the firm kept top honors among wirehouses in the Broker Report Card surveys, and beat its own overall score from last year.  |
Registered Rep. September 23, 2008 |
SEC Charges Miami Broker Gary Gross Gary Gross has been charged with fraud by the SEC for selling his elderly clients unsuitable investments.  |
Registered Rep. December 12, 2006 Halah Touryalai |
Smith Barney Pay Package: Perks Balance Cuts? This week, Smith Barney will become the first firm to make a change to its payout grid as a result of the securities industry's recent battle over broker overtime pay and so-called chargebacks.  |
Registered Rep. March 2, 2015 Megan Leonhardt |
Rep as Portfolio Manager Wirehouse and national firms are the most likely to offer advisor-directed platforms, followed by the bank and independent broker/dealer channels.  |
Registered Rep. August 29, 2014 Diana Britton |
One Strike, You're Out When it comes to the world of independent broker/dealers, the Financial Industry Regulatory Authority is cracking down. Its stated 2014 priority is to focus its regulatory firepower on "high-risk" brokers.  |
Registered Rep. December 1, 2005 Kevin Burke |
Edward Jones: Whistle While You Work According to survey results, financial advisors working at this financial firm seem to be living a charmed life. Here's why.  |
Investment Advisor June 2009 James J. Green |
Leadership In volatile times, communication and culture are broker/dealer leaders' touchstones.  |
Investment Advisor March 2009 James J. Green |
Editor's Note: For Your Consideration RIAs and broker/dealers are more alike than they are different, and it's always better to merge from strength than weakness.  |
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.  |
Investment Advisor January 2010 James J. Green |
B/D Briefing: Alignment Time A short interview with Patrick McEvoy, CEO of Woodbury Financial, a 1,700-rep independent broker/dealer.  |
Investment Advisor June 2008 Jonathan Henschen |
Transfer Time For advisors pondering a move from a wirehouse to an independent broker/dealer with visions of large, forgivable transition loans dancing in their heads, it's time for a reality check.  |
Registered Rep. December 1, 2005 John Churchill |
UBS: You Against Us? According to rank-and-file reps surveyed, UBS brass did a lot of things right this year and can take a bow -- and then quickly straighten up and fix the rest of what reps say is still ailing the firm.  |
Entrepreneur December 2005 Kimberly L. McCall |
Money Talks Motivate sales reps with the almighty dollar.  |
Entrepreneur May 2006 Barry Farber |
Star Qualities How can you make sure you shine in your customers' eyes? Adopt the top 5 traits clients say their favorite salespeople share.  |
Financial Advisor January 2004 Tracey Longo |
Reversal Of Fortune Independent brokerage firms experienced a turnaround in 2003.  |
Registered Rep. November 1, 2002 David A. Gaffen |
Auditing Your Brokers When it comes to compliance these days, the message from regulators is clear: Attention must be paid.  |
Job Journal February 19, 2006 Rich Heintz |
Sales or Service? A close look reveals the differences between "telemarketers" and "customer service representatives." Here are a few questions you may want to consider while pondering your job choice.  |
Investment Advisor September 2008 Eric Schwartz |
B/D or RIA? The Case for the Flexible B/D How independent broker/dealers and advisors can thrive by leveraging the trends of the future.  |
Investment Advisor May 2007 |
The Original SEC Rule The Security and Exchange Commission's original decision on the broker/dealer exemption rule exempting brokers from regulation as an investment advisor even when they were being paid fees for investment advice.  |
Investment Advisor September 2009 James J. Green |
Chosen: 2009 Broker/Dealers of the Year The firms given the highest ratings among their peers by their own reps in the 19th annual Broker/Dealer of the Year balloting.  |
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. July 1, 2004 Bill Singer |
When Silence Isn't Golden Reps may not inhibit customers or other parties from providing information, documents or testimony or from cooperating otherwise with a regulator in an investigation of alleged violations, even after a settlement.  |