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Investment Advisor
September 2008
Kara P. Stapleton |
Catching up with... Steve Lundquist, recently appointed head of the Registered Investment Advisor channel for JPMorgan Funds, speaks about his business strategy.   |
Registered Rep.
October 1, 2005 |
60 Seconds with Bill Carey (Head of Fidelity's RIA group) The former president of Fidelity's institutional retirement business and a 12-year veteran of the firm talks about his plans for the advisory unit and the challenges confronting advisors. |
Financial Planning
August 1, 2007
Marshall Eckblad |
On The Job AXA Advisors has promoted Andrew McMahon to chairman... Boston-based Fidelity Investments has hired Jylanne Dunne... etc. |
Financial Planning
September 1, 2008 |
On the Job American College hires Craig W. Lemoine to serve as assistant professor of financial planning... Fidelity Investments names Joseph A. Giordano executive vice president of relationship management... LPL Financial in San Diego has appointed Mark Helliker managing director... etc. |
Financial Planning
April 1, 2008
Stacy Schultz |
Growing RIAs A new study from Fidelity Investments found that registered investment advisory firms have grown their assets under management an average of 55% over the past three years. |
On Wall Street
December 1, 2009
Pat Olsen |
Bill Morrissey Bill Morrissey, of LPL Financial, talks about his 23 years in the securities business. |
Registered Rep.
June 1, 2005
Kristen French |
Fido Attacks! Long a distant second to Charles Schwab in the lucrative business of serving financial advisors, Fidelity is making an aggressive push to close that gap. And some advisors are taking notice. |
Financial Planning
June 1, 2008
Elizabeth O'Brien |
Millionaires Ahoy! Independent advisors who are looking to snag more millionaire clients should focus their efforts on prospects who do not already have a registered investment advisor, according to a new study by Fidelity Investments. |
Financial Planning
July 1, 2005
Jennifer A. Liptow |
On The Job New York Life Insurance Co. has promoted Scott L. Berlin to... James Bowman has been elected senior vice president and appointed head of the new Life Division of... Federated Investors in Pittsburgh has appointed Curtis R. Gross director of ... etc. |
Financial Planning
August 1, 2005 |
On the Job Virginia Jo Dunlap has joined the Certified Financial Planner Board... Boston-based Fidelity Investments has appointed William C. Carey as... Morningstar Investment Services in Chicago has hired Steve Ferrone as... etc. |
Financial Planning
February 1, 2005
Jennifer A. Liptow |
On the Job Who's going where, when: Stuart Rogers has been named senior vice president of corporate... John Kennedy has joined New York-based AXA Distributors as senior vice president... etc. |
Investment Advisor
March 2009
Kara P. Stapleton |
Changes People on the move. |
Registered Rep.
July 23, 2003
Nigel Goodman |
Servicing Your HNWs A recent Fidelity Investments survey shows that affluent clients will still replace their advisors if they are not meeting portfolio goals. Predictably, the survey encourages advisors to become more attentive to the needs of their affluent clients. |
Investment Advisor
June 2007
James J. Green |
A Flush Fidelity Celebrates With enhanced authority, Fidelity Registered Investment Advisor Group's Ellyn McColgan leads the way. |
Investment Advisor
June 2007
Kara P. Stapleton |
News & Products NASD has fined two Fidelity broker/dealers for preparing and distributing misleading sales literature... The broker/dealers of ING plan to lower fees that their advisors pay on two core advisory programs... etc. |
Financial Planning
March 1, 2007
Marshall Eckblad |
On The Job Here's a rundown of important executive moves and appointments: Gary Bhojwani has joined Allianz Life Insurance Co... New Yorkbased AXA Financial has promoted Richard Dziadzio... etc. |
Investment Advisor
September 2007
Kathleen M. McBride |
Life After Ellyn McColgan Her sudden departure from Fidelity is a loss for advisors. McColgan's departure comes on the heels of Debby McWhinney's abrupt resignation from Charles Schwab earlier this year. |
BusinessWeek
August 15, 2005
Aaron Pressman |
Fidelity Trolls For Bigger Fish Fidelity Investments' new Pyramis unit will grab at a larger slice of the institutional pie. |
Investment Advisor
May 2007
Kara P. Stapleton |
What Millionaires Value According to Fidelity Registered Investment Advisor Group's recently released survey, financial advisors play a critical role in helping millionaires meet their investment needs, but 30% of those wealthy surveyed do not currently use an advisor. |
Investment Advisor
November 2006 |
Now and Then When it comes to plowing through the complexities that are associated with retirement planning, advisors need all the help they can get. Fidelity looks ahead to dominate retirement planning now. |
Registered Rep.
January 27, 2010
Jerry Gleeson |
Two Key Execs Depart Fidelity Why all the turnover in top brass at Fidelity? |
Investment Advisor
October 2009
James J. Green |
Fidelity Cuts Costs on Technology, Trading Fidelity Institutional announced a range of price cuts and time-bounded fee waivers for advisors who custody client assets at Fidelity. |
Investment Advisor
April 2009
Robert F. Keane |
About the Planner: Debra K. Brede Information on background and contacts for financial advisor in Massachusetts. |
Investment Advisor
April 2010
Robert F. Keane |
Catching Up With... A short conversation with Fidelity Client Experience Executive VP Maggie Serravalli. |
Investment Advisor
March 2010
Robert F. Keane |
Changes at the Top for RIA Units at Fidelity and Schwab At a time when growth in the RIA channel has been robust to say the least, the two largest custodians have announced executive changes and restructuring of their units serving RIAs. |
Financial Advisor
July 2006 |
Advisor Emporium The Potomac Funds Changes "Direxion"... Fidelity Launches Value International Fund... Vanguard Offers New Retirement Funds... Support Platform For SMAs Introduced... etc. |
Investment Advisor
February 2007
Thomas D. Giachetti |
When Should You Register? Should an investment advisor with $30 million of "assets under management" register with the SEC? It depends on whether the advisor has "qualifying" assets under management. |
Registered Rep.
December 18, 2007
John Churchill |
Ellyn McColgan, Late Of Fido, Joins Morgan Stanley Ellyn McColgan, once seen as a possible successor to Ned Johnson as CEO at Fidelity Investments, has been picked to take the helm of Morgan Stanley's Global Wealth Management Group. |
Financial Planning
December 1, 2007
Jeanne Lee |
Fidelity Ups Its Game The Boston behemoth is introducing new, integrated technology that promises practice management nirvana. Will it captivate -- and capture -- the RIA market? |
Financial Advisor
July 2012 |
Advisor Emporium First Allied launches Women's Impact Network... Fidelity starts Global Equity Income Funds... ProShares launches Covered Bond Fund... |
Financial Advisor
May 3, 2010 |
Advisor Emporium News: Automatic 401(k) Plans Growing... ProShares Offers Inverse ETFs... First Allied Launches Fund Allocator... Curian Adds New Investment Strategies... Advisor Partners Upgrades Portfolio Program... Van Eck Offers Small-Cap Investments... more... |
Financial Advisor
November 2005 |
Frontline News First Allied To Finance Reps' Acquisitions... CFP Board Names Three New Members... Bradley Heads Merged TD Ameritrade Advisory Unit... Fidelity Upgrades Advisor CHANNEL Platform For RIAs... etc. |
Financial Planning
October 2, 2007
Elizabeth O'Brien |
On the Job Mitch Waters has joined AXA Distributors in New York as national sales manager... The AIG Advisor Group in New York has tapped Larry Roth as the broker-dealer unit's chief executive officer... etc. |
Registered Rep.
May 8, 2013
Diana Britton |
Moving on Up: Go Independent and Make More $ Advisors who switched firms saw a jump in their compensation, especially among those who went independent. |
The Motley Fool
June 8, 2007
Amanda B. Kish |
Foolish Weekly Fund Wrap-Up Barclays struggles to crack 401(k) market... Funds' cash stakes falling... Fidelity chasing market share... |
Financial Advisor
June 3, 2010 |
Advisor Emporium Advisor news: Fidelity Unveils Fully Bundled 401(k) Plan... Pershing Offers Practice Health Checkup... Ave Maria Offers Equity Fund... Equinox Creates Actively Managed Fund... Vanguard Offers Commission-Free Trades... more... |
Investment Advisor
December 2007 |
News & Products, December 2007 FINRA fined Oppenheimer Co., Inc. $1 million... Compliance officers at broker/dealer firms will have a chance to discuss new and changing regulations... Christine Nigro has been promoted to president of AXA Advisors, LLC... etc. |
Registered Rep.
August 1, 2004
Stan Luxenberg |
Nest Eggs in Multiple Baskets Increasingly, employers have begun offering life cycle funds, which include broad mixes of stocks and bonds. By picking one life cycle choice, an investor can hold a nicely diversified 401(k) portfolio. |
Investment Advisor
December 2005
Andrew Gluck |
The Gluck Report, Part I: The Big Three's Tech Plans for 2006 New tech initiatives from the leading custodians have lots of features aimed at attracting and winning over RIAs without making them feel like they're losing their independence. We talk to the tech heads at Schwab, Fidelity, and TD Waterhouse. |
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
April 11, 2007
David Lee Smith |
Clear Channel May Need a Sweetener The proposed private equity buyout of Clear Channel Communications may be doomed. Investors need to monitor the media company's progress carefully. |
Financial Planning
May 1, 2005
Jennifer A. Liptow |
On the Job Allstate Distributors in Northbrook, Ill., has appointed DeeAnne Asplin to... Lane Jones has been promoted to chief operating officer of Evensky & Katz... RiskMetrics Group in New York has appointed Arthur Levitt... etc. |
Financial Advisor
February 2004
Sydney LeBlanc |
Stature, Service, Size, Simplicity Schwab, Fidelity and Waterhouse are building sophisticated SMA (separately managed account) platforms. |
Registered Rep.
November 1, 2004
Stan Luxenberg |
The Retiring Kind Keeping the loyalty of retirees is urgent business for fund companies. Retaining retirees is particularly crucial for Fidelity. |
Registered Rep.
June 1, 2007 |
The Great Re-Sell How will registered reps re-position themselves with clients who have fee-based brokerage accounts? |
Financial Advisor
August 2, 2010 |
Advisor Emporium New Products: Fidelity Launches New Resource... Schwab Rolls Out Reporting Tool... Putnam Funds Top $2 Billion... New Investment Entity Created... MarketCounsel Creates Virtual Vault... Securities America Launches Tools... |
Investment Advisor
June 2007
Kara P. Stapleton |
Consolidate and Refer Fidelity Investments introduced a report showing that advisors who offer retirement income planning services have found that their clients are more satisfied, consolidate more assets with them, and provide more referrals for new business. |
Investment Advisor
June 2006 |
Changes John Kenneth Galbraith, one of the world's most widely read economists died in late April... Fidelity named John Dowd co-portfolio manager of the Fidelity Select Natural Resources Portfolio... etc. |
Financial Advisor
September 2004
Dorothy Hinchcliff |
Here Come The Big Boys Fidelity and Pershing are competing for advisors' trust business. |
Financial Advisor
January 2008
Tracey Longo |
Breakaway Brokers Despite being in business a shorter amount of time than the average advisor, breakaways have more assets under management, higher total revenues and a significantly higher growth rate. |
