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Registered Rep. May 1, 2005 Mindy Diamond	What About Your Retirement? Brokers often take a shortsighted view of their careers, and this usually turns an effort to convince them to think about their own retirements into an uphill battle.
Registered Rep. December 1, 2004 Mindy Diamond	Packing the Parachute Success in the brokerage industry can be as much about mindset as anything else, so it comes as little surprise that advisors avoid negative thoughts, such as the potential necessity of a quick exit from their practice.
Registered Rep. June 1, 2005 Mindy Diamond	Don't Be Afraid to Go for It Openness to switching firms is essential if a broker wants to take advantage of an industry that can, and will, provide brokers with opportunities to capitalize on a lifetime of hard work.
The Motley Fool December 22, 2004 Selena Maranjian	Should You Switch Brokers? The brokerage you're using may not best serve your needs.
Registered Rep. January 1, 2003 Nicholas Ferber	Switching Has Changed During trying times like these, many reps are looking to switch jobs. When pondering a move, no question occupies more time or discussion between brokers, hiring managers and (sometimes) recruiters than the following: "What's in it for me?"
Registered Rep. April 1, 2005 Mindy Diamond	Should I Stay or Should I Go? The process of deciding to change firms often hinges on concrete comparisons. But other less tangible factors come into play, too. Here are four questions that get to the heart of both types of criteria. Any rep considering changing firms should answer these before taking any major action.
The Motley Fool March 5, 2004	Cheap Trades Here! A big part of how brokers compete is through price-per-trade. And while cost is a factor -- particularly for more frequent traders -- it should not be your only guidepost. Investment selection and services should be tops on your broker search list.
Registered Rep. September 1, 2004 Mindy Diamond	Of Myths and Moving A large number of brokers labor under a group of myths and misconceptions that keep them from managing their careers effectively.
Registered Rep. October 1, 2004 Nick Ferber	Sunny Days In the interest of arming financial advisors with all they need to assess broker acquisition packages, here is a guide to deciding when it is mathematically justified to make a change.
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.
The Motley Fool March 30, 2010 Dan Caplinger	The Best Way to Buy Stocks Is one broker really that much better than another?
Registered Rep. June 1, 2006 Mindy Diamond	Valuable Lessons A broker in mid-career doldrums with a desire to teach, coach or mentor should let prospective employers know of this interest. It may provide an enriching experience for a whole class of brokers.
Registered Rep. March 1, 2006 Mindy Diamond	Creative Giving Over the past year, top brokers who have switched houses on the Street have gotten some very creative compensation packages. The better the broker the more bells and whistles -- like loans and designer offices -- they are offered.
The Motley Fool February 25, 2009 Dan Caplinger	Start Investing and Earn an Extra Bonus If you're looking for a new broker in today's sophisticated financial world, you really should think about finding one with bells and whistles that open up a range of investments.
Registered Rep. December 1, 2005 Mindy Diamond	Branch Manager Recruiting Tips In a branch office, reps are not the only ones who depend on their sales skills to increase bonuses. Here is what every manager needs to know in order to increase his success at recruiting the highest quality brokers.
Registered Rep. February 1, 2005 Mindy Diamond	Customize Your Career As a result of broker dissatisfaction with the status quo, the increasing clout of top producers (at some firms) and the need for firms to keep successful reps happy, we're beginning to see quite a bit more flexibility.
Registered Rep. November 21, 2002 Rick Weinberg	Morgan Stanley Firing 950 Brokers Morgan Stanley is firing 950 brokers, according to the various sources.
Registered Rep. September 27, 2002 David A. Gaffen	Bear Market Crushing Transaction Brokers Top advisors have been making the transition to the fee-based, "wealth management" style of advisory. But surveys have shown that many brokers remained resistant to the fee-based concept.
Registered Rep. September 13, 2010 Susan Konig	Wirehouse Recruiting Stalls, Deals Keep Rising but Fewer Advisors Moving These days there are a lot more strings attached to recruiting packages and in the current market they're not great for brokers or firms.
Registered Rep. January 1, 2007 Mindy Diamond	New Year, New Job? January is a month for making resolutions in all areas of your life. Make one now to take a realistic assessment of your current career situation. Here are two questions every financial advisor should ask himself periodically.
Registered Rep. March 1, 2007 Mindy Diamond	Of Myths and Moving: Revisited The thought of changing firms is a big step for any financial advisor. But don't let cloudy thinking get in your way. Make sure you stop paying heed to old Wall Street myths. Don't fear change. Embrace it.
Investment Advisor February 2009 Thomas D. Giachetti	The Skinny on the Protocol The law is fairly clear that a departing advisor should not bring any customer information to a new employer.
Registered Rep. March 1, 2003 Sam Jaffe	Coaching in a Storm We spoke to dozens of the best branch office managers, from managers of tiny regional shops to lords of sprawling city offices. Their secret to success doesn't sound all that tough: work hard and pay attention to details.
Registered Rep. March 1, 2005 Steve Watkins	Money in the Bank Bank-owned brokerage companies have awakened to the changes they need to make to attract top-shelf talent, and brokers are taking notice.
Registered Rep. February 2, 2006 Kristen French	Brokers Learning to Play by New Rules It's no longer business as usual on Wall Street. Starting yesterday, broker/dealers must follow a new SEC rule that requires them to disclose at certain times that they may not be acting in their clients' best interest.
Investment Advisor May 2010	Broker/Dealer News Updates from National Financial, Russell Investments and The Law Offices of Patrick J. Burns.
Financial Advisor April 2005 Tracey Longo	Winning Over Wirehouse Brokers AIG's transition suites help brokers become independent.
Investment Advisor June 2008 Philip Palaveev	The New Model: The Fee-Only Broker/Dealer Independent broker/dealers must tackle head-on the causes of their frustration if they wish to survive.
CFO March 1, 2010 David M. Katz	Is Your Broker Mediocre? It may be a buyer's market, but choosing the best broker is far from easy.
Registered Rep. August 29, 2014 Mindy Diamond	Ten Years of Myths and Moving Why advisors need to purge common "myths" from their thinking about changing jobs.
Registered Rep. September 1, 2005 Mindy Diamond	Look Homeward When financial advisors decide to embark on a job search, they often overlook one very important firm to evaluate: their current one.
On Wall Street October 1, 2009 Carri Degenhardt-Burke	How to Avoid a Bad Match The delicate dance between advisor and manager during the recruiting process can break down at any time.
Registered Rep. November 1, 2005 Mindy Diamond	In Good Company There's a trend brewing among brokers with nascent high-net-worth books. Increasingly, these reps are not interested in making a lateral move to a wirehouse, preferring instead to hold out for a position at a firm whose brand resonates with the ultra-wealthy.
Registered Rep. February 25, 2013 David Geracioti	Cold Call with Jeff Spears Each broker leaves for a different reason that is unique to their business or personal situation. The reasons range from a corporate merger, compensation change, loss of a large client to a life event, such as a divorce or children moving out of the house.
Registered Rep. November 1, 2006 John Churchill	A.G.E. to Catch a Rep Instead of buying brokers like its peers with offers of big upfront forgivable loans, A.G. Edwards is offering its own reps bonuses for successfully recruiting good reps.
The Motley Fool October 27, 2009 Dan Caplinger	How You Can Become the Next Super-Investor Get the tools you need to succeed with your investments.
Registered Rep. November 1, 2002 David A. Geracioti	Looking for Work -- On the QT Are you a broker looking for a job, but afraid you'll be found out? A new Web site, privateclientpro.net, provides a fast, anonymous and comprehensive listing of opportunities.
Registered Rep. January 1, 2005 Brittany Quaid	Where Ethics Don't Exist Fee-based arrangements are not right for all clients, and it's unethical (and illegal) to advise unsuitable clients to convert to them.
Registered Rep. October 1, 2004 Will Leitch	The Death of the Peter Principle? Some experts speculate that the "producing branch manager" is a dying breed --- with more broker/dealers now hiring professional managers instead of promoting top producers.
The Motley Fool May 3, 2004 Dayana Yochim	Cash, Credit, Crudites? Brokers are offering a feast of freebies. Here's what's catching our eye.
Registered Rep. April 1, 2003 David A. Gaffen	Your Book or Your Life! What would you do if you lost your book? Where would you turn for new customers? Where could you be hired? Those are questions that keep many advisors up at night.
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.
Registered Rep. August 10, 2005 Kristen French	Sources: Morgan Cuts Slated for Thursday Morgan Stanley's human resources department created a performance-based formula for selecting the 1000 people to let go.
The Motley Fool May 25, 2010 Dan Caplinger	Be the Best Investor You Can Be The right broker can make all the difference.
Registered Rep. March 1, 2003 Andre Cappon	Okay, Team, Listen Up! Whether some reps like to acknowledge it, the branch office manager is vital to the success of a given branch.
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.
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.
Registered Rep. September 13, 2006 Halah Touryalai	Morgan Joins Inter-Brokerage TRO Pact This firm has officially opted to join the inter-brokerage pact, which stipulates that members will not sue brokers departing to other firms when they try to take their clients with them -- as long as they are moving to another firm named in the pact.
The Motley Fool August 30, 2007 Selena Maranjian	A Better Way to Check Your Broker? A former SEC guy is aiming to help you steer clear of ne'er-do-wells. Meanwhile, make sure that the brokerage you're using is best for your needs. Odds are, you can find a better brokerage that charges you less or offers more services.
Registered Rep. October 1, 2006 Halah Touryalai	Morgan Joins TRO Pact Morgan Stanley has officially opted to join the inter-brokerage pact, first created in the fall of 2004, which stipulates that members will not sue brokers departing to other firms when they try to take their clients with them.