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Registered Rep. April 1, 2005 Kristen French |
The New New Thing at AEFA Since launching its unique three-tier career-track system in 2000, the company has regularly tweaked payouts, fees, incentives and training and affiliation options. Now, the recently announced spinoff from American Express may force it to rethink itself once again. |
Registered Rep. February 1, 2005 David A. Geracioti |
American Express to Exit the Financial Advisory Business American Express Financial Advisors will be spun off to shareholders and not sold because of adverse tax consequences that shareholders would have faced in a sale. American Express shares jumped 6.4% on the news. |
Registered Rep. March 1, 2005 David A. Geracioti |
An Amexit Stage Right Saying there are "few critical strategic links between the two businesses that create a compelling case" for keeping them together, American Express CEO Ken Chenault announced Amex's plans to spin off American Express Financial Advisors. |
The Motley Fool May 20, 2004 Tim Beyers |
American Express Unit in Scandal The broker could be a target of a regulatory inquiry into mutual funds revenue-sharing. How can you tell if your own broker or advisor has a conflict of interest? |
Financial Advisor August 2006 Tracey Longo |
Late Summer Recruiting While the recruiting party will get tougher some day for broker-dealers who cater to independent advisors and reps, for now they are enjoying their competitive advantage: They give brokers and advisors who want to own their own business the chance to do that. |
Registered Rep. January 1, 2003 Will Leitch |
Amex Advisors Seek Youthful Associates American Express Financial Advisors, through its 7,000 independent brokers across the country, is going on the recruiting warpath. |
Financial Planning March 1, 2005 Abigail LaCroix |
News Digest Amex Suffers Separation Anxiety... AIG Advisor Group Consolidates and Re-brands... Revenue Sharing Boosts Fund Sales... AARP Pans Personal Retirement Accounts... Aligning Muni Rules with NASD Guidelines... etc. |
Registered Rep. March 31, 2015 Diana Britton |
The Rare Prop Product In REP.'s fifth annual Independent Broker/Dealer Report Card, only 19 percent of 2,058 advisors surveyed said they sell in-house or proprietary products. |
Financial Advisor January 2005 Tracey Longo |
How Fee-Based Programs Led 2004 Brokerage Profits Fee-based profitability is not lost on brokerage executives, who are ramping up programs designed to attract more planners to a fee-based business model and away from traditional commissions. |
Financial Advisor January 2006 Tracey Longo |
Working Smarter, Not Harder As more independent broker-dealers set themselves up as strategic outsourcing partners, they are finding bigger and better firms driven to their door by stagnant or shrinking profit margins and the accelerating compliance melee. |
Registered Rep. January 1, 2006 John Churchill |
More, More, More Faced with growing competition from other advice providers and fewer inherent advantages in the way of products and platform capabilities, wirehouse brokers will feel pressure to do more fee-based business and to make wealthier clients a bigger part of their practice. |
Registered Rep. August 23, 2005 John Churchill |
Proprietary Matters for AEFA and UBS Selling proprietary product via a firm's own sales force was once considered a great strategy for maximizing revenue. In another sign that that strategy is dead: UBS and Ameriprise are now embroiled in separate class-actions suits. |
Investment Advisor August 2005 Mark Tibergien |
Formulas for Success: Independence Day There is a growing trend toward registered reps moving out of the wirehouse environment -- a trend invisible to most, but obvious to the country's leading custodians: they are actively wooing breakaway brokers. |
Registered Rep. June 1, 2004 Kevin McKinley |
Fee-ling Good Tips for financial advisors on establishing and maintaining fee-based relationships the right way. |
Financial Advisor August 2005 Tracey Longo |
Independents Believe Bigger Is Better--And Cheaper Faced with higher costs, broker-dealers are targeting larger advisors. |
Financial Advisor July 2004 Tracey Longo |
Clearing Firms Come Courting With clearing industry players so clearly targeting advisors, competition for advisor business is likely to get even more interesting very soon. |
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. |
Financial Advisor November 2005 Tracey Longo |
All For Advisors Brokerage executives are doing their best to deliver the tools advisors need to move their business to the next level, while still remaining efficient. That includes streamlined technology, investment and rebalancing selections, outsourcing, practice management and business development assistance. |
Financial Advisor March 2005 |
Frontline News AICPA Joins FPA In Opposing Exemption For Brokers... Heads Roll At CFP Board As Up To 25% Of Staff Gets Axed... American Express Spinning Off Advisors Unit... Board Of Standards Disciplines 23... etc. |
Financial Planning February 1, 2005 Ed McCarthy |
The Next Generation of Advisers (and the Problem with Uncovering Them) There's still no tried-and-true path for those entering the financial planning profession. |
Financial Planning January 1, 2005 |
News Digest Associations: Fiduciary Guild Debuts... Companies: Schwab Streamlines... Mutual Fund Store Grows... Investments: Hedge Funds Balloon... 529 Growth Deflates... etc. |
Financial Advisor October 2010 Michael Patrick Jacobs |
Investors Demand More This advisor provides highlights of what he's found clients today are looking for when they seek advice. |
Investment Advisor November 2005 Ben Warwick |
Build Your Own Frustrated with the other options, a growing number of financial advisors are starting their own mutual funds. Here's how to do it all yourself, or with a partner. |
Registered Rep. September 10, 2003 David A. Gaffen |
Existing Clients Want More Advice The good news for reps is that the world doesn't hate you. The bad news is that acquiring clients -- particularly affluent ones -- is getting a lot more tough. |
Financial Advisor May 2006 Tracey Longo |
What Have You Done For Me Lately? The race is on among independent broker-dealers to recruit more top fee-based advisors. |
Financial Advisor February 2004 Tracey Longo |
Facing The Confidence Crisis How you can help clients deal with the mutual fund scandals. |
Registered Rep. September 1, 2005 David A. Geracioti |
You Say, They Say In an industry survey that covered a range of issues, from estate planning to choice of investment products, the responses by wealthy clients and advisors showed a striking disconnect about the needs of high-net-worth individuals. |
Financial Advisor July 2006 Dorothy Hinchcliff |
Climbing A Stairway To Heaven As boomers age and spend their savings, financial advisors will need to adapt their practices. |
Registered Rep. July 1, 2005 Kristen French |
You're Calling It What!??? After several months of deliberations and input from all 18,000 of its employees, the soon-to-be-spun-off American Express Financial Advisors selected as its new name: Ameriprise. |
Registered Rep. January 1, 2005 David Gaffen |
The Broker and Brand X Syndrome The commoditization of the brokerage industry might be easier for individual reps to deal with, were they not under such intense pressure in virtually every other aspect of their professional lives. |
Financial Advisor May 2004 Raymond Fazzi |
Niche Players Provide More Choices For Advisors Many are trying hard to differentiate themselves---and are succeeding. |
Investment Advisor April 2006 Maya Ivanova |
Self Improvement In the recent supplement to the 2005 Rydex AdvisorBenchmarking Survey, many advisors recognize that simply maintaining the status quo is not enough. They're continuously examining their business plans and investment processes to look for improvements. |
The Motley Fool February 1, 2005 Rich Duprey |
It's Good to Be Warren Buffett He reaps a new windfall as American Express spins off its Financial Advisors unit with 100% of the shares going to stockholders. |
Investment Advisor March 2006 Angela Herbers |
The Fast Track: Glory Days Financial planners need to decide whether they want stardom or the benefits of a growing firm. |
Registered Rep. January 1, 2006 John Churchill |
Blotter Congregation Con Man... Another Fraudulent Market-Timing Bust... |
Registered Rep. May 3, 2007 Kevin Burke |
Fund Shareholders to Advisors: We Need Ya', Big Guy If you are among the mutual-fund only caste of advisors, don't lose heart: Investors really do need your advice. |
The Motley Fool July 16, 2007 Bill Barker |
Today's Strong Buys: International Edition A lot of people will give you one piece of advice on breaking into international markets: Mutual funds. But they're dead wrong. |
Financial Advisor May 2005 Lavine & Liberman |
Uncertain Future The Fidelity Executive Forum raises issues about where the money management industry is headed. |
The Motley Fool January 17, 2007 Bill Barker |
Today's Strong Buys: International Edition You certainly want to be diversified into the exceptional international returns of the next decade -- but if history is any indication, brokers as a group simply won't help you find today's reasonably priced global opportunities. |
Registered Rep. October 1, 2005 Mindy Diamond |
What Size Pond? It is important for advisors to find a firm that is a good fit for their particular goals. In many cases, small firms work well. For advisors looking to expand their books aggressively, larger firms are often -- but not always -- a good option. |
Investment Advisor October 2008 Maya Ivanova |
War Room How the most successful advisory firms are mitigating risk on two fronts: for their clients, and for their own businesses. |
Investment Advisor October 2006 Black & Bakker |
Life Support A reader survey suggests how asset managers can be true partners with investment advisors. |
Financial Advisor November 2003 Marla Brill |
Advisors Divided Over Fund Scandals Some think they are isolated cases; others say their faith is being tested. |
Financial Advisor April 2004 Sydney LeBlanc |
What Have You Done For Me Lately? Are advisor marketing tools and business development what they should be? |
Investment Advisor January 2008 Bob Clark |
Part of the Solution For financial advisors, a fund you run yourself (with help) can solve some thorny issues. |
Financial Advisor May 2009 David J. Drucker |
Crisis Intervention Broker/Dealers unveil new programs to help advisors survive the recession. |
On Wall Street September 1, 2010 Aarti N. Maharaj |
Five Questions With Amy Strong Joining Financial Research Corp. as a research analyst in 2007, she examines the state of the industry and marketing effectiveness. |
The Motley Fool October 26, 2004 Alyce Lomax |
Giving Credit to AmEx Given the current economic climate, is AmEx about to charge it up? Third-quarter net income at American Express rose 14% to $879 million, or $0.69 per share. |
Financial Advisor May 2005 Shaw-Grove & Prince |
Taking the Pulse of Affluent Investors A recent survey reveals that millionaire investors have changed their thinking over the past four years and have lost faith in their financial advisors. |
Financial Planning December 1, 2005 Lynn Hume |
Ameriprise to Pay $1.25 Million Fine for 529 Sales In a first-of-a-kind enforcement action, the NASD ordered the former American Express Financial Advisors to pay $1.25 million for failing to adequately supervise its sales of Section 529 college savings plans. |