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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.
September 7, 2011
Diana Britton
Seven B/Ds Sign on With Erado for Interactive Social Media Use The partnerships will allow these firms' reps to post interactive content to Facebook, Twitter, and LinkedIn without pre-approval by their compliance departments. 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
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
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
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.
July 27, 2011
Diana Britton
NPH Adopts Social Media Strategy to Help Reps Connect with Clients National Planning Holdings plans to roll out a social media initiative this fall, which will allow its 3,563 reps to use Twitter, LinkedIn and Facebook to communicate with clients. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
September 1, 2004
Anne Field
The Weight of Words It's a paradox confronting brokers all over the country: In a business climate that calls for ever-increasing advisor-client intimacy, financial professionals are measuring their words more carefully than ever. 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
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
Investment Advisor
September 2007
James J. Green
Leading the Way The leaders of the 2007 Broker/Dealers of the Year reflect their reps: optimistic, opinionated professionals whose business savvy is growing in a challenging environment 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
Investment Advisor
February 2007
Kathleen M. McBride
A Matter of Life and Health For many advisors who are affiliated with independent broker/dealers and either running, or employed by, a small business, health insurance coverage can be expensive and sometimes elusive. That may be changing. mark for My Articles similar articles
Investment Advisor
September 2005
Andrew Gluck
The Gluck Report, Part II: Broker/Dealer Tech Report How broker/dealer Portfolios Financial Services uses technology to maximize business. mark for My Articles similar articles
Registered Rep.
March 1, 2008
How to Dance the Wall Street Shuffle There's no such thing as an easy route to independence. But there are some things reps can do to ease the transition. 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.
June 16, 2011
Diana Britton
Securities America Jumps on the Social Media Bandwagon Independent broker/dealer Securities America announced its new social media program, which will allow all of its 1,800 reps to access and post content on Facebook, LinkedIn and Twitter. mark for My Articles similar articles
Investment Advisor
September 2009
Broker/Dealer of the Year, Division II Quick company stats of The Investment Center. mark for My Articles similar articles
Investment Advisor
January 2008
Kathleen M. McBride
Clearly Profitable It's an evolution revolution at the big clearing firms. 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 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
September 2005
Melanie Waddell
The Playing Field: The Image is All Important Document imaging is becoming a must-have technical solution for compliance-conscious financial advisors. 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
Entrepreneur
May 2006
Kimberly L. McCall
The Price Is Right Advice on winning the price wars. mark for My Articles similar articles
Registered Rep.
October 1, 2002
Daryl T. Logullo
Don't Let Corporate Red Tape Stifle You Advice for financial advisers trying to avoid compliance problems when giving interviews. mark for My Articles similar articles
Investment Advisor
June 1, 2011
John Sullivan
2011 Broker-Dealer Presidents' Poll--Slideshow Broker-dealer recruiting expert Jon Henschen talks about the state of the industry, what it means for reps and what it means for clients. mark for My Articles similar articles
Registered Rep.
April 1, 2009
Halah Touryalai
No Buyers--Still--For AIG-owned B/Ds AIG announced its plan to sell its independent broker/dealers back around October 2008. Six months later, nothing has changed except that reps we spoke to are even more frustrated. Some say they are ready to bolt. mark for My Articles similar articles
Registered Rep.
July 8, 2011
Lauren Barack
AIG's Advisor Group Kicks Open Door to Social Media For Reps Advisor Group will allow its more than 4,800 independent reps to, in many cases, post freely on Twitter, LinkedIn and Facebook. mark for My Articles similar articles
Registered Rep.
June 1, 2007
The Great Re-Sell How will registered reps re-position themselves with clients who have fee-based brokerage accounts? 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.
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. 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
Financial Advisor
August 2005
David J. Drucker
An Uncommon Practice Management Guru What's so special about Joni Youngwirth? How about the career history and specialized training that make her the perfect advisor to reps, not to mention the passion she brings to her position, vice president of practice management. mark for My Articles similar articles
Financial Advisor
July 2010
Andrew Gluck
A New Era With broker-dealers now starting to embrace social media, advisors have many more ways to market their firms. 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
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
Financial Advisor
June 2006
Tracey Longo
Is Any Stone Unturned? Is the NASD's regulatory clampdown over? Major changes are in place at the sales force level. mark for My Articles similar articles
Registered Rep.
September 7, 2015
Anne Field
How to Recruit from the Top R.M. Zalatimo wants to grow by wooing big wirehouse advisors to his independent broker/dealer practice. 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
May 2006
Murphy & Green
Breaking Away As the number of breakaway brokers continues to rise, broker/dealers and custodians have implemented programs designed to make the broker's transition to independence as seamless as possible. 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
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
Contemporary Financial Solutions When it comes to an innovative business model, Contemporary Financial Solutions may have the most unique business plan: it welcomes lower producing representatives and treats them like VIPs. 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
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. mark for My Articles similar articles
Registered Rep.
January 1, 2005
David A. Gaffen
Third Time Is a Harm A NASD proposal first announced in 2003 requires that reps with three or more formal complaints against them receive extra supervision from their firms. Most major broker/dealers are already operating as if the rule were in place. mark for My Articles similar articles
Investment Advisor
September 2007
Robert F. Keane
Know What Else I Could Use? For the most part, reps are pretty satisfied with the products and services that their B/Ds offer. mark for My Articles similar articles
Investment Advisor
June 2009
James J. Green
Best of Times, Worst of Times Securities America and Capital Analysts have responded to the financial crisis in quite different ways. But they're also quite similar in how they're proactively changing their business models to help reps and the home office thrive mark for My Articles similar articles
Investment Advisor
June 2008
McBride & Roberts
The Presidents Speak Recruiting and building margins are top challenges for independent broker/dealers today. mark for My Articles similar articles