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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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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? mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
June 1, 2004
Kevin McKinley
Fee-ling Good Tips for financial advisors on establishing and maintaining fee-based relationships the right way. mark for My Articles similar articles
Financial Advisor
August 2005
Tracey Longo
Independents Believe Bigger Is Better--And Cheaper Faced with higher costs, broker-dealers are targeting larger advisors. mark for My Articles similar articles
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. 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
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Advisor
February 2004
Tracey Longo
Facing The Confidence Crisis How you can help clients deal with the mutual fund scandals. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Advisor
May 2004
Raymond Fazzi
Niche Players Provide More Choices For Advisors Many are trying hard to differentiate themselves---and are succeeding. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
January 1, 2006
John Churchill
Blotter Congregation Con Man... Another Fraudulent Market-Timing Bust... mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Advisor
May 2005
Lavine & Liberman
Uncertain Future The Fidelity Executive Forum raises issues about where the money management industry is headed. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
October 2006
Black & Bakker
Life Support A reader survey suggests how asset managers can be true partners with investment advisors. mark for My Articles similar articles
Financial Advisor
November 2003
Marla Brill
Advisors Divided Over Fund Scandals Some think they are isolated cases; others say their faith is being tested. mark for My Articles similar articles
Financial Advisor
April 2004
Sydney LeBlanc
What Have You Done For Me Lately? Are advisor marketing tools and business development what they should be? mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Advisor
May 2009
David J. Drucker
Crisis Intervention Broker/Dealers unveil new programs to help advisors survive the recession. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles