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Registered Rep.
May 1, 2006 |
Cashin' In Q: I'm handling an account for an elderly client who has several million dollars in assets... the client says she's satisfied with the profits and wants me to go to cash. I believe this is the wrong way to go. The customer insists. What should I do?... Answers follow...   |
Registered Rep.
May 1, 2004
Bill Singer |
It's Your Call Always Far too many reps are learning the hard way how little responsibility clients shoulder when it comes to assessing the suitability of their investments. |
Registered Rep.
February 1, 2005
Bill Singer |
Short but Not Necessarily Sweet It's a heady moment when a rep leaves his firm. It also often sets in motion a series of showdowns over client ownership and compensation issues. One way to make things easier is to pay careful attention to your resignation letter. |
Registered Rep.
August 1, 2004
Bill Singer |
Dealing With Complainers Many official complaints can be handled in a way that minimizes the damage to a rep's reputation and to his permanent record. |
Registered Rep.
January 1, 2005
Bill Singer |
For the Record An on-the-record interview with the NASD is much less fearsome (and dangerous) when handled correctly. Given that they are becoming more common, it's worth taking a few minutes to understand a rep's rights and obligations. |
Registered Rep.
January 1, 2007
John Churchill |
Will Jones Wrap it Up? Buy-and-hold Edward Jones is considering a platform option it has long eschewed as foreign to the firm's culture: fee-based accounts. |
Registered Rep.
September 23, 2008 |
SEC Charges Miami Broker Gary Gross Gary Gross has been charged with fraud by the SEC for selling his elderly clients unsuitable investments. |
Investment Advisor
August 2010
Thomas D. Giachetti |
The Compliance Coach: Independent Advisors: Don't Violate the Protocol There are two major issues for a registered representative to consider when deciding to leave a firm and go independent. The first is how to leave. The second is appropriate registration and ongoing regulatory complance requirements. |
Investment Advisor
June 2010
Thomas D. Giachetti |
Independence's Issues There are four main challenges faced these days by independent broker/dealers. |
Registered Rep.
September 1, 2004 |
The Blame Game When is a broker or a financial planner a fiduciary?... Should I seek separate legal counsel or allow my former firm's attorney to represent me?... |
Investment Advisor
September 2009 |
Broker/Dealer of the Year, Division II Quick company stats of The Investment Center. |
Registered Rep.
June 1, 2006 |
Balancing Act? Q: I am a 17-year veteran with no compliance marks against me... I'm growing more concerned about making sure that I do what's in the best interest of my clients, which is not necessarily what's in the best interest of my firm... etc. |
Financial Planning
August 1, 2007
Marshall Eckblad |
5 Questions With the SEC's Merrill Rule gone, Brian Corkery and Scott Donnelly of asset manager FundQuest help broker-dealers make fee-based accounts compliant. |
Financial Advisor
June 2005
Timothy Kochis |
Letting Go Helping clients overcome financial and emotional barriers to diversifying concentrated stock positions. |
HBS Working Knowledge
August 2, 2004
Jonathan Byrnes |
Account Management: Art or Science? The answer, not surprisingly, is that both aspects are important. But in many companies, the science of account management is neither well understood nor systematically applied. |
Financial Planning
July 1, 2005
David A. Twibell |
Too Much of a Good Thing To avoid considerable risk, clients with a large part of their wealth tied up in one company's stock need to diversify or hedge these concentrated positions. |
AskMen.com
Nick Clarke |
Apply Sales Strategies To Your Job There are lessons to be learned from sales people that can be applied to any job. |
Investment Advisor
September 2006
Robert F. Keane |
The Investment Center If keeping your representatives satisfied is the name of the game for broker/dealers, then it's no surprise that Ralph DeVito and The Investment Center are the winning team in Division II this year. |
Entrepreneur
April 2006
Kimberly L. McCall |
Break It Up If a customer calls to grouse about one of your sales reps, what should you do? Here are some ways to finesse this sticky situation. |
Investment Advisor
November 2006 |
FPA Letter to CFP Board This letter documenting concerns over revisions to the Board's Code of Ethics was signed by 21 current and former leaders of the leading professional financial planning organizations. |
Entrepreneur
May 2006
Barry Farber |
Star Qualities How can you make sure you shine in your customers' eyes? Adopt the top 5 traits clients say their favorite salespeople share. |
BusinessWeek
December 20, 2004
Christopher Farrell |
The Importance Of Independent Thinkers Why consider concentrated funds for your mix? One study found that more than 80% of concentrated funds beat their more diversified peers in six of the seven domestic equity fund categories. That study measured rolling five-year returns from 1992 through 2003. |
AskMen.com
Mr. Mafioso |
Building Your Reputation Simply having a good rep makes everything you do that much easier. But building one takes time, so start at a young age and guard it with your life. |
Registered Rep.
January 1, 2006 |
Who Gets the Book? Q: I had an oral contract with my partner that I would inherit his $40 million book when he retired... Please advise me as to my rights... A: At the outset, my advice is that you have viable claims against your firm for breach of contract, detrimental reliance and unfair business practices... etc. |
