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Registered Rep.
October 1, 2002
David A. Gaffen |
Behind Every Great Producer, A Great Assistant This survey details trends in the compensation, duties and preferences of sales assistants, essential players in the brokerage business.   |
Registered Rep.
October 1, 2004
John Churchill |
These Go To Eleven It's no secret that sales assistants are the administrative linchpins of many a brokerage office, but never before has their role been so crucial to the smooth operation of their practices. The reason? Compliance-related paperwork. |
Registered Rep.
October 1, 2003
Will Leitch |
Introducing The ParaBrokers Successful registered representatives make good use of their sales assistants. The sales assistant position has evolved to include more practice-management duties. The article includes results from a salary survey. |
Registered Rep.
November 1, 2005 |
We Told You So A recent report says sales assistants in the financial industry need better training to support changing job expectations. |
Registered Rep.
November 10, 2005
Kristen French |
Morgan Stanley Waves Baby Carrot at Sales Assistants The brokerage announced plans to bump up the 2006 raise pool to 3.5 percent, and will offer an additional 5 percent to some underpaid SAs, starting in December. |
Registered Rep.
May 12, 2011
Matt Oechsli |
7 Key Attributes of Top Assistants The increasing importance that the advisor-assistant relationship plays in the loyalty of today's affluent client prompted the Oechsli Institute to conduct a study on advisors and assistants. Here are the findings. |
Job Journal
February 6, 2005
Marty Nemko |
Quick Fix: For Some "Gophers" it's a Golden Gig Sometimes personal assistants are treated poorly and given only grunt work. But often it's a cool career. Salaries range from $30,000-$120,000, plus perks. |
Registered Rep.
August 27, 2009
Christina Mucciolo |
Sales Assistant Gone Wild Yesterday the Financial Industry Regulatory Authority (FINRA) barred a Citigroup sales assistant for taking more than $850,000 from at least 22 customers, including her own father, in addition to falsifying records, and making unauthorized trades. |
Registered Rep.
May 1, 2004
Matt Oechsli |
Fair Pay Growth affects many things. Performance expectations and compensation arrangements are two of the most critical. |
Registered Rep.
April 1, 2006
Matt Oechsli |
Making It Personal The rich today expect everything to be delivered with Ritz-Carlton service and FedEx efficiency. Here are steps financial advisors can take in order to have a positive impact on how their clients view them, their firms and the quality of their service. |
AskMen.com
Nick Clarke |
How To: Get Someone's Contact Info Discover how to break through the barrage of secretaries, personal assistants and red tape to reach the "Big Cheese." |
Entrepreneur
March 2006
Paul & Sarah Edwards |
Is Starting a Homebased Business For You? How you can use existing skills to start your own home-based business. |
CIO
April 15, 2004
Julie Hanson |
A CIO's Best Friend CIO honors the cowinners and honorable mentions in our best administrative assistant contest |
Registered Rep.
January 1, 2005
Mindy Diamond |
A Clean Escape, With an Accomplice Brokers tempted to leap at a lucrative job at another firm are often held back by inertia, but in increasing numbers they are finding the powerful force they need to get moving: hungry branch managers. |
Registered Rep.
August 3, 2011
Kristen French |
New Merrill Overtime Lawsuit Aims to Overturn System of Compensation, Alleged Culture of Discrimination The giant Wall Street financial firms have settled numerous overtime pay and discrimination claims over the past decade and a half, but a recent suit filed in New York represents a new twist on some old themes. |
Registered Rep.
March 1, 2003
Steve Testerman |
The Hiring Drought Might Be Ending With so many laid-off securities workers still looking for new employment, the burning question is: "When is it going to get better?" A recent survey by BrokerHunter.com offers some clues. It's good news if you're a retail broker; if you're a sales assistant of a retail broker, not so much. |
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.
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.
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. |
Job Journal
April 16, 2006
Rich Heintz |
The Aspiring Administrative Assistant Susan Silva adamantly believes an administrative assistant career is an ideal way to create your own destiny. |
Commercial Investment Real Estate
Jan/Feb 2005
Carolyn Bilsky |
Beyond Basic Training In today's technology-dependent office world, computer and Internet skills are essential for an administrative assistant. |
Registered Rep.
April 1, 2008
Mindy Diamond |
Take it or Leave it The market may be ugly, and the economy may be teetering, but the major wirehouse firms aren't cutting back on the dough they're throwing at new recruits. |
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. |
Inc.
September 1999
Austin, Nancy K. |
First Aide Melba J. Duncan knows what makes for a world-class executive assistant. Her one-of-a-kind recruiting business may even help you learn how to find a superstar aide-de-camp of your own. |
Registered Rep.
July 14, 2008
Halah Touryalai |
Morgan Stanley Offers $50 million In Overtime Settlement The settlement covers all financial advisors, trainees, producing branch managers, assistant branch managers and sales managers who live outside of California and were employed with the New York-based firm between Sept. 1, 2002, and April 21, 2008. |
Registered Rep.
December 1, 2005
Kristen French |
Wachovia: Back on Track Wachovia is back in good graces with its brokers. The many integration headaches of the firm's merger with Prudential Securities have finally subsided. Reps polled say management has tackled a number of improvements. |
Registered Rep.
September 1, 2006
Anne Field |
Taking the Growth Plunge Even with the most sophisticated technology available, your financial advisory practice isn't going to grow significantly unless you start staffing up. |
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. |
