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On Wall Street March 1, 2013 Braswell & Konish |
Compensation Plans Step Up to Next Level Compensation plans for 2013 come with new incentives for advisors to strive for growth.  |
On Wall Street March 1, 2012 Lorie Konish |
Go,Teams! When Hilliard Lyons introduced its current team-based award program in its compensation program five years ago, it led to what Executive Vice President Darryl Metzger now calls an "A-HA" moment for the firm.  |
Financial Advisor March 2012 |
UBS Reeling In Merrill Advisors The big four wirehouse firms are always trying to poach top talent from their rivals, but UBS Wealth Management seems to be doing a particularly job good job of late when it comes to snagging advisor teams from Bank of America/Merrill Lynch.  |
On Wall Street March 1, 2013 Samantha Allen |
HighTower Aims to Lure Top Names with Home Office Visit HighTower Advisors has steadily worked to carve out a role as an emerging boutique firm through its high-profile advisor recruitment wins. Many prospective hires are attracted after their first home-office visit.  |
On Wall Street March 1, 2010 Helen Kearney |
Compensation 2010 Your definitive guide to the changes in advisor compensation across the industry.  |
Registered Rep. December 10, 2009 John Aidan Byrne |
UBS Announces New Comp Plan; Comp Focused on FA Loyalty and Future Production UBS' plan is a departure from brokerages where compensation is typically based on trailing commissions rather than on growth.  |
On Wall Street April 1, 2013 Lorie Konish |
Five Questions with Matt Matrisian The director of practice management at Genworth Financial offers advisors tips on avoiding common blind spots.  |
On Wall Street September 1, 2011 Lorie Konish |
Pursuing Recovery and Profitability When volatility hit the markets in August following Standard & Poor's downgrade of U.S. debt, it left investors and their financial advisors scrambling. How ready are firms and advisors to apply the lessons learned in those dark days?  |
Registered Rep. December 21, 2012 Megan Leonhardt |
Looking Back, 2012 A Mixed Bag For Wirehouses Assets mostly were up, but advisors are on the move.  |
Registered Rep. May 1, 2005 |
13 Percent Percentage of advisors who say they have switched to a wealth management model.  |
On Wall Street June 1, 2013 Lorie Konish |
Editor's Letter: Results of Our Annual Broker-Dealer Survey A run-down of the stories in this issue, including how top firms fared in wealth management, and a look at what new regulations mean for the industry.  |
On Wall Street June 1, 2013 Braswell & Konish |
Leaders: Ranking the Top Wirehouses and Regional Broker-Dealers This year, the leading wirehouse and regional wealth management firms took the steps necessary to ensure they reap rewards as markets hit new highs.  |
Registered Rep. December 2, 2014 Megan Leonhardt |
Drivers of Advisor Satisfaction: Technology And Efficiency Financial advisors are known to harbor a strong streak of independence and autonomy, and aren't shy when it comes to letting their opinions be known, both good and bad.  |
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.  |
On Wall Street January 1, 2011 Mike Byrnes |
Pulling Out All Stops Since 2008, the financial services industry has taken a beating-not just in assets under management and performance, but in reputation, as well.  |
Registered Rep. January 3, 2012 Jerry Gleeson |
Raiders of the Wirehouse Ark The emergence of HighTower as a major player in the independent space also dovetails with the changes that have shaken the wirehouse industry since the 2008 financial crash.  |
On Wall Street September 1, 2008 Donna Mitchell |
Which Firms Leave Clients Most Satisfied? It's easy to call clients in good markets, but more important to call them when times are bad.  |
Registered Rep. August 4, 2010 Anne Field |
Listen To Your Clients You need to make sure you have your finger on your clients' pulse and an up-to-the-minute understanding of what they like -- and dislike -- about what you do. It's particularly important in the current climate of disillusionment, when clients are switching advisors right and left.  |
Registered Rep. November 7, 2011 Kristen French |
Krawcheck: Client Attrition Very Low, but Wooing Younger Generation a Challenge Generation x and y kids are not too keen on the big wealth management firms, and that is one of the major challenges the wealth management industry faces over the medium term.  |
Registered Rep. April 20, 2010 Kristen French |
Merrill Won't Seek Growth Through Top Tier Advisor Hires Merrill Lynch plans to grow primarily by investing in current advisors and hiring rookies, said Merrill Lynch president of Global Wealth and Investment Management Sallie Krawcheck on Tuesday.  |
Registered Rep. November 26, 2012 Mindy Diamond |
Advisors Sober Up For 2013 While the trend toward independence slowed a bit from previous years, 2012 was the year the independent channel legitimized its place next to the more traditional players.  |
Financial Planning September 1, 2007 Ray Sclafani |
The Future is in Retirement By helping clients envision later-life goals, You can build value in your practice. An exclusive conversation with coach Dan Sullivan.  |
Registered Rep. April 21, 2009 Christina Mucciolo |
Smaller Advisors On The Firing Line It used to be that financial advisors never got fired.  |
Investment Advisor June 2010 Angela Herbers |
From Senior to Partner A description of a smooth transition from senior advisor to partner.  |
Registered Rep. May 13, 2009 Christina Mucciolo |
Wall Street Squeezes Small Brokers, Many Go Independent In this brutal market, many advisors are taking payout cuts or being let go. But many of these advisors are finding homes at independent and regional b/ds and RIA firms.  |
Financial Advisor November 2009 Raymond Fazzi |
Tales Of Breakaway Brokers Fridays on Wall Street not only signal the end of the workweek. For many breakaway brokers, the day marks the end of their wirehouse careers.  |
Registered Rep. September 1, 2005 Grove & Prince |
Theory to Practice For many advisors, the evolution to wealth manager remains a matter of theory, not practice. Sure, they're calling themselves wealth managers, but they're still behaving like financial advisors.  |
Registered Rep. July 21, 2006 Kristen French |
Advisors Not Filling High-Net-Worth Retirement Needs, Survey Says Although few high-net-worth investors are prepared for the kind of retirement they expect, advisors continue to focus on wealth accumulation at the expense of long-term financial planning.  |
On Wall Street February 1, 2012 |
Who's News New hires for Merrill Lynch Wealth Management, Morgan Stanley Smith Barney, UBS Wealth Management, and Raymond James.  |
Registered Rep. December 1, 2011 Kristen French |
Broker Report Card 2011: It's Getting Better All the Time Registered Rep.'s 21st annual Broker Report Cards showed advisor satisfaction ratings creeping higher this year across the board -- on everything from compensation and benefits, compliance support and sales support to products.  |
Registered Rep. December 3, 2013 Megan Leonhardt |
Out From Under A rising market lifts many spirits, including advisor satisfaction with the firm that employs them.  |
Registered Rep. April 1, 2014 Mindy Diamond |
Culture: Hard to Define, Impossible to Ignore Advisors looking to compare and contrast their own firm to others, often see all similarly situated firms as one and the same. A firm's culture is the one thing that is not a commodity.  |
Investment Advisor August 2009 James J. Green |
Free It's the concept and reality of joining a true partnership that has led some of the biggest advisors at the biggest Wall Street firms to join HighTower Advisors.  |
Registered Rep. July 14, 2011 Jerry Gleeson |
Wirehouse Breakaways Eye HighTower Model VWG Wealth Management, with assets of $700 million, is the fifth wirehouse team this year to join HighTower Advisors, a Chicago-based hybrid RIA with national reach and $18 billion in AUM.  |
Registered Rep. December 8, 2015 |
2015 Broker Report Card: Show Me The Money Advisors' gross production varied widely by firm in this year's survey results.  |
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.  |
Registered Rep. February 28, 2013 Mindy Diamond |
You Have Chosen... Wisely These days, advisors have more choices than ever when it comes to business models, making the decision that much more difficult. Which one best suits you?  |
On Wall Street March 1, 2010 Frances A. McMorris |
Comparing Payouts And Recognizing Branch Managers Among those challenges facing branch managers looking to recruit the best and brightest advisors are the changes that brokerage firms made to their payout grids.  |
Financial Advisor August 2006 Hannah Shaw Grove |
Life Insurance And Wealth Management Helping client with life insurance is an important service of effective wealth managers.  |
Registered Rep. December 7, 2011 Philip Palaveev |
The Say on Pay: Registered Rep.'s 2011 Compensation Survey Financial advisors continue to expand their practices, work with more clients and receive ample compensation for their efforts.  |
On Wall Street September 1, 2010 Howard J. Stock |
Talent Shortage Grips Firms As Financial Advisors Age After years of recruiting only established, top advisors in the so-called "war for talent" instead of hiring younger employees and training them, the industry is now facing a shortage.  |
Registered Rep. April 15, 2009 Kristen French |
Bank of America Launches Client Referral Program It's one of several referral programs the bank is putting together as part of its integration with Merrill Lynch, including one that would offer leads from the commercial banking division to certain Merrill Lynch advisors.  |
Financial Planning November 1, 2012 Donald Jay Korn |
High-Octane Expansion: Hightower Advisors Has a New Growth Plan HighTower has gotten a big boost by working with independents. Can it keep up the momentum?  |
Registered Rep. November 3, 2006 Kristen French |
Morgan Tinkers with Grid; Wants FAs to Aim High James Gorman announced the rollout of a new compensation program that will greatly increase the firm's spending. But, in an effort to get reps to think big, accounts below $50,000 will no longer generate any compensation for the rep.  |
Financial Advisor November 2003 Blomfield & Hamil |
Who Puts Clients First? Client-centered financial advisors have an edge over ones focused on investments.  |
Financial Planning January 1, 2010 Donna Mitchell |
Articulate Your Value A majority of financial advisory clients have been very satisfied with the performance of their providers since the onset of the financial crisis and market meltdown, but almost 10% of clients are neutral or dissatisfied.  |
Registered Rep. September 30, 2009 David A. Geracioti |
Do Retail Financial Advisors Have an "Unhealthy Focus?" The Financial Times suggests the way financial products and services are sold need to be completely overhauled.  |
On Wall Street July 1, 2011 |
Who's News UBS Wealth Management Americas hired a two-member Bank of America Merrill Lynch team... HighTower Advisors hired a three-member Morgan Stanley Smith Barney team... etc.  |
Registered Rep. February 13, 2012 Susan Konig |
Branch Managers Key to Team Building It's no secret that many branch managers feel their firms now view them more as "costly overhead" rather than as talented coaches and leaders who can greatly benefit their firms' bottom lines.  |
Investment Advisor October 2005 Melanie Waddell |
The Playing Field: Welcome to the Family Becoming a wealth manager is not quite as easy as it looks. But the mid-tier millionaires are underserved, so honing skills and capturing some of them as clients should be on every financial adviser's list.  |