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Investment Advisor
September 2009
Broker/Dealer of the Year, Division I Quick company stats of Prospera Financial Services. mark for My Articles similar articles
Investment Advisor
September 2009
Broker/Dealer of the Year, Division III Quick company stats of Sigma Financial Corp. mark for My Articles similar articles
Investment Advisor
September 2009
Broker/Dealer of the Year, Division IV Quick company stats of Woodbury FInancial Services. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
June 2010
Thomas D. Giachetti
Independence's Issues There are four main challenges faced these days by independent broker/dealers. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
October 2008
James J. Green
Is Consolidation Finally Here? Several recent deals for mid-sized independent broker/dealers raises the question. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
June 1, 2007
All About the Benjamins Reps say the darndest things. mark for My Articles similar articles
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. mark for My Articles similar articles
Entrepreneur
May 2006
Kimberly L. McCall
The Price Is Right Advice on winning the price wars. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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." mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
June 2009
James J. Green
Leadership In volatile times, communication and culture are broker/dealer leaders' touchstones. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Entrepreneur
December 2005
Kimberly L. McCall
Money Talks Motivate sales reps with the almighty dollar. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Advisor
January 2004
Tracey Longo
Reversal Of Fortune Independent brokerage firms experienced a turnaround in 2003. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles