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Registered Rep.
May 1, 2005
Kristen French |
Go to the Head of the Class This financial advisor and winner of an Outstanding Broker Award for 2005 loves learning, and his clients love him for it.   |
Registered Rep.
May 1, 2004
John Churchill |
Whom Do You (Trust) The mutual find fiasco and impropriety have thrown the money industry into ill repute. This year's Outstading Broker Awards are a refreshing reminder that there are still exceptional reps working in the industry. Michael Hull... Mary Ellen Garrett... etc. |
Registered Rep.
September 1, 2004
David A. Gaffen |
Clean Machines Not all of these Top 50 Advisors have spotless records, but their ability to build such huge practices speaks to how astute they are in avoiding the sorts of complaints that can bring an advisory to its knees. |
| Registered Rep. |
Meet the Wealth Advisors with Heart 2014 When advisors devote time to a cause by actually rolling up their sleeves and helping people in their communities or around the world, we feel they deserve recognition. |
Registered Rep.
September 1, 2003
David A. Gaffen |
Giants Among us Debbie Jorgensen's book is pushing a half billion dollars, but the true measure of her success is this: She now gets to tell her company's bosses what to do. Jorgensen, with nearly two decades of experience at Merrill Lynch, has recently been appointed head of the firm's advisory committee to management. |
Registered Rep.
April 29, 2013 |
Photo Gallery: Ten Advisors Who Give Back Advisors have many charitable projects including foreign and domestic aid to homeless shelters, the American Heart Association, and supporting charter schools. |
Registered Rep.
January 1, 2008 |
Top 50 Independent B/D Advisors Our list of the top broker/dealer advisors. |
Registered Rep.
February 15, 2013
Anne Field |
Volunteering Pays Dividends Supporting a charitable organization can do wonders for the soul. It may also be a path to new clients, if handled correctly. |
On Wall Street
June 1, 2011 |
The Leaders Speak The most influential leaders in wealth management today expound on evolution, revolution, moving the debate past wirehouse versus independent, and more. |
On Wall Street
May 1, 2010 |
Branch Managers Of The Year These Top Ten Branch Managers, nominated by their advisors and selected by a panel of judges, have special lessons to impart-both personal and professional. |
Financial Advisor
November 2008 |
Frontline News News for the Financial Industry: Tumult Could Expand Ranks Of RIAs... M&A Activity Remains Healthy... Independent B-Ds: Don't Tread On Us... Who Has The Most Satisfied Advisors?... The Business Of Serving Business Owners... etc. |
Financial Advisor
November 2007 |
Frontline News CFP Board Picks New Chief Of Exams And Education... Are Regulators Losing Their Mojo?... Gingrich, Ford: Save New York City... Staffing -- Not Clients or Revenues -- Is Advisors' Big Challenge... etc. |
Financial Advisor
December 2007
Sydney LeBlanc |
More Options, More Business Independent advisors recently got the opportunity of a lifetime -- the marriage made between fee-based advisory accounts and fiduciary accountability finally made headlines in the SEC repeal of Rule 202. |
Registered Rep.
December 1, 2011
Kristen French |
Broker Report Card 2011: It's Getting Better All the Time Registered Rep.'s 21st annual Broker Report Cards showed advisor satisfaction ratings creeping higher this year across the board -- on everything from compensation and benefits, compliance support and sales support to products. |
Financial Advisor
June 2008
Tracey Longo |
Swimming Upstream California investment advisor John Threlkeld has been working diligently to serve wealthier and wealthier investors, even purchasing two other advisors' practices and turning all but his top clients over to a junior planner. |
Financial Advisor
June 2012
Karen DeMasters |
Succession Survival Guide Advisors plan for their clients' futures but often ignore their own. |
Registered Rep.
February 1, 2006
Kristen French |
Both Sides Now Brokers who hold dual licenses -- both the Series 7 and Series 65 licenses -- will have to take fiduciary responsibility on some accounts. But they can also sell investments, after they make it crystal clear that they're doing so. |
Financial Advisor
September 2007 |
Frontline News States Reevaluating Who Should Be Licensed... CFP Board Awards Grants to Eight Projects... FPA Recognizes Outstanding... Western Bank Buys Shine Investment Advisory... Outcry Over Sallie Mae and Private Equity... Virtual Experience... 401(k) Balances on the Upswing... |
Registered Rep.
April 1, 2007 |
When Achievement is Bull State regulators are moving to ban certain designations from marketing materials to better protect seniors. Financial advisors using senior designations to con seniors are often caught too late. |
Financial Advisor
December 2003
Raymond Fazzi |
Big Blunders Everyone makes mistakes, and top financial advisors tell us some of theirs. |
On Wall Street
November 1, 2010
Gallant & Schneider |
Navigating The Retirement Business The demand for retirement income support will continue to grow rapidly in the coming years as the aging of the baby boom generation is inevitable. |
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. |
Investment Advisor
September 2008
Steve Moore |
Less Is More To become a wealth manager, you may want to start with fewer clients. |
Financial Planning
August 1, 2006
Donald Jay Korn |
Daunted by Designations? As the number of expert designations heads toward triple digits, financial planners must decide which -- if any -- they really need. |
Financial Advisor
February 2, 2009
Jeff Schlegel |
Surviving The Plunge Amid falling assets and revenue, advisors try to positions themselves for the eventual upturn. |
Financial Advisor
December 2006
Tracey Longo |
Women's Work To get constant feedback from women producers on what they need and want to work smarter, Raymond James formed a 12-member Women's Advisory Council that assists the firm in building out its programs and resources for women. |
Investment Advisor
April 2009
Lewis Schiff |
Danger & Opportunity: Seling Wisdom Advisors with a wealth-management practice orientation can provide the kind of services affluent families need during difficult market times. |
Investment Advisor
September 2005
Kathleen M. McBride |
Building a Brilliant Career Larry Barton of The American College offers words of wisdom on how to be a successful financial advisor. |
Registered Rep.
February 7, 2007
Halah Touryalai |
Alphabet Soup: Massachusetts May Ban Some Advisor Designations Advisors who hold certain obscure professional designations may want to think twice about touting their alleged specialties on their business cards, mailings or other advertisements -- at least in the state of Massachusetts. |
Financial Planning
June 1, 2005
Ed McCarthy |
Sorting Through Certifications Continuing education designations for financial planners are proliferating at a dizzying pace. The specific designations matter less than the content of the courses. Here's a sampler. |
Investment Advisor
April 2010
Lewis Schiff |
The Affluentialist: The Challenges of Advising the Affluent Advisors need to focus on more than just assets with their very wealthy clients. |
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. |
Financial Planning
July 1, 2013
Bob Veres |
How to Fix the AUM Fee Model Advisors are trying a dizzying variety of compensation plans. Some have been a lot more successful than others. |
