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Registered Rep.
January 1, 2008
David A. Geracioti |
Desperately Seeking Advisors For RR's 28th Annual Outstanding Advisor Awards Nominate a financial advisor for Registered Representative's annual Outstanding Advisor Award.   |
Registered Rep.
January 9, 2007
David A. Geracioti |
Desperately Seeking Advisors for Rep.'s 27th Annual Outstanding Advisor Awards Now in its 27th year, the OAAs are awarded to 10 veteran financial advisors who exemplify the highest standards of professionalism. |
Registered Rep.
November 4, 2011
John Aidan Byrne |
Rep-as-Portfolio Manager Programs Taking Off Despite the compliance hurdles, more than one third of financial advisors see direct handling of clients' assets by FAs acting as their portfolio managers clearly outpacing other fee-based management styles in the next three years. |
On Wall Street
September 1, 2011
Nick Georgis |
Taking The Hybrid Road As more advisors transition to independence these days, a growing number of them are choosing to adopt a hybrid business model that lets them conduct both commission-based brokerage business and fee-based advisory business. For many advisors, the hybrid road may offer the best of both worlds. |
Registered Rep.
June 1, 2007 |
The Great Re-Sell How will registered reps re-position themselves with clients who have fee-based brokerage accounts? |
Registered Rep.
June 1, 2007 |
All About the Benjamins Reps say the darndest things. |
Registered Rep.
February 2013
David A. Geracioti |
Editor's Letter: February 2013 The editor thanks financial advisors for their survey participation and talks in more detail about the firms that took part. |
Registered Rep.
June 16, 2011 |
New on RepTV: Advisor Insights In our "Advisor Insights" video series, Registered Rep. senior editor Jerry Gleeson sits down with advisors from across the country to find out what individuals are doing on a daily basis to improve their own businesses. |
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. |
Financial Planning
June 1, 2007
Kathy Gevlin |
Advisor Pulse The happiest financial advisors really do put their clients first, asserts the first study of advisor satisfaction. |
Registered Rep.
November 1, 2006
Susan Konig |
A Big Trade Off? For advisors looking for further independence through a registered investment advisory firm, compliance burdens can increase. Reps working under an independent b/d's umbrella RIA, also known as "dually registered" advisors, must comply with both NASD and SEC rules. |
Registered Rep.
March 1, 2003
David A. Geracioti |
In the Crosshairs An army of lawyers are about ready to file suits on behalf of aggrieved retail investors who claim to have lost money because of the conflict-of-interest scandal. |
Registered Rep.
June 4, 2012
Lauren Barack |
The Fishbowl Effect As financial advisor ratings websites like BrightScope and Advice IQ proliferate, advisors are going to have to get comfortable with having their records a click away from clients and prospects. |
Investment Advisor
March 1, 2011
Thomas D. Giachetti |
Get Form ADV Right New requirements and changing deadlines could make filing Form ADV a tricky business. |
Investment Advisor
October 2007
Kara P. Stapleton |
Slight Growth in RIAs The universe of registered investment advisors grew only slightly during the past year. |
Registered Rep.
January 1, 2006
Kristen French |
What's in a Name? Financial advisor is the name most of the other wirehouses use for their registered reps these days. It reflects the industry's attempts to transform its reps from commission-based stock jockeys to fee-based relationship managers. |
Registered Rep.
April 1, 2008
David A. Geracioti |
Joseph Duran A conversation with Joseph Duran, about his firm, United Capital, a national wealth-management firm that purchases regional registered investment advisor firms. |
Registered Rep.
July 7, 2010
David A. Geracioti |
Compensation 2010. Crisis? What Crisis? 2009 income for RIAs -- while lower than 2008, in some cases by a lot -- rebounded fairly nicely, bringing earnings back to 2007 levels. |
Registered Rep.
March 29, 2012
Jerry Gleeson |
Social Media Works, Advisors Say Social media is gaining momentum with financial advisors, new research by Registered Rep. and wealthmanagement.com shows. |
Financial Planning
October 1, 2009
Conrad & Mitchell |
Indies' Gain Ground Registered investment advisor firms, independent broker-dealers and dually registered advisors are gaining market shares at the expense of wirehouses. |
Financial Planning
November 1, 2010
Marion Asnes |
The Influencers Please join me in a heartfelt congratulations to all of our 2010 Financial Planning Influencer Award winners. We hope to award you next year. |
Registered Rep.
December 7, 2011
Philip Palaveev |
The Say on Pay: Registered Rep.'s 2011 Compensation Survey Financial advisors continue to expand their practices, work with more clients and receive ample compensation for their efforts. |
Registered Rep.
August 13, 2008
Halah Touryalai |
Ameriprise Buys H&R Block Reps Ameriprise Financial is 900 advisors stronger after it purchased H&R Block Financial Advisors for $315 million in cash. |
Financial Advisor
November 2010
David Lawrence |
Back In The Fold? Will the new regulations force independents to return to broker-dealers? |
Registered Rep.
September 25, 2013
Megan Leonhardt |
"I Don't Work for a Wirehouse" Firms' credibility with clients, particularly those attached to banks, took a hit following the financial crisis. Five years later, have the firms earned back client trust? |
Financial Advisor
April 2007
William Glasgall |
Why Marketing Works Over the years, many advisors, being analytical people at heart, have relegated marketing to a minor role behind crunching numbers for clients' financial plans and investment portfolios. Now, that attitude seems to be undergoing a long-needed change. |
AskMen.com
December 9, 2001
Rashmikant Patel |
Trusting Your Advisor Many of us are looking back at our investments over the last couple of years, and blaming our advisors for the less than stellar performance. It all comes down to one issue: do you trust your financial advisor? |
Registered Rep.
July 6, 2009 |
Outright Greed? Or Mere Miscommunication? Managing client expectations may be the biggest problem for financial advisors. |
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. |
Registered Rep.
June 30, 2010
Christina Mucciolo |
Clients, though Mostly Satisfied, in the Dark about FA Fees, Says Study Overall advisors and investors are still confused about what the advisors' fiduciary responsibility is exactly. |
Investment Advisor
June 2006
Kathleen M. McBride |
Stretched For broker/dealers who are already stressed, dually registered advisors are a challenge being met in varied ways. |
Financial Planning
June 1, 2008
Stacy Schultz |
More Than Equal A study of the role of the female financial advisor. The research compares female to male advisors and looks at the varying performance levels of women advisors. |
Registered Rep.
April 21, 2009
Christina Mucciolo |
Smaller Advisors On The Firing Line It used to be that financial advisors never got fired. |
Registered Rep.
February 2, 2011
Diana Britton |
RIA M&A Hits Record in 2010, More To Come In 2011 Registered investment advisory firms were furiously busy getting hitched last year: they did the highest number of merger and acquisition deals recorded in at least seven years. |
Investment Advisor
March 2006
Melanie Waddell |
The Playing Field: Here, There and Everywhere Dually registered advisors (advisors who are registered with both the SEC and the NASD, and are collecting both fees and commissions) have the best -- and worst -- of both worlds. However, a new study shows when implemented properly, the hybrid model can be very profitable. |
On Wall Street
January 1, 2013
Alan J. Foxman |
Holding On to a Series 7 Securities License After Leaving a Broker-Dealer Our legal expert explains how to keep a Series 7 license fresh after moving from a broker-dealer. |
Financial Planning
November 1, 2008
Stacy Schultz |
Key to Happiness The key to an advisor's happiness is support, at least for the independent advisor. |
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.
May 9, 2011
Gleeson & Britton |
New SEC Disclosure Rules Dismay Some Advisors; Advisor Disciplinary Histories in Welcome Packets New SEC rules that require federally-registered advisors to disclose their disciplinary histories in brochures and provide them to clients will get under way in earnest by the end of the summer. |
Registered Rep.
September 27, 2011
Jerry Gleeson |
Want More Prospecting Time? Integrate Your Tech, Study Says The cost of inefficient technology integration at registered investment advisor practices may be more than you would think. |
Financial Advisor
September 2005
Bruce W. Fraser |
How To Survive The SEC Assault Advisors cite a new, more demanding compliance environment. Despite the extra financial and time burden, many advisors feel much better about their businesses, having gone through the compliance process. |
On Wall Street
December 1, 2010
Denise Federer |
Creating Better Branch Manager Relationships Have you ever considered the role your branch manager's actions play in your success and satisfaction as a financial advisor? |
Registered Rep.
October 13, 2011
John Aidan Byrne |
Financial Advisors Embrace Mobile Computing Financial advisors are finally catching up with their clients in mobile computing. |
Registered Rep.
October 1, 2002
David A. Geracioti |
Outgrowing the Series 7? Registered investment advisors must take the Series 65 exam. As the line between brokers and financial advisors blurs, what responsibilities do brokers that dispense advice and collect a fee based on assets have? |
Investment Advisor
March 1, 2011
Peter Montoya |
Ten Marketing Strategies for New Advisors Times are tough, but these real-world strategies can help get a new -- or struggling -- advisory practice off the ground. |
Financial Advisor
June 2007
Sherri Scordo |
Financial Advisor's 2007 Broker-Dealer Guide Top independent broker-dealers ranked by gross revenue: LPL... AIG Advisors Group... ING Advisors Network... etc. |
Investment Advisor
April 2006
Andrew Gluck |
Your Best Partners More and more, financial advisors are using technology tools to offer additional services and become more efficient. |
Registered Rep.
November 1, 2007 |
Sure is a Good Time to be a Financial Advisor Broker/dealers and registered investment advisories are searching for advisor talent as never before. In fact, advisory firms are competing for talent even more than they are competing for clients. |
Registered Rep.
April 7, 2011
John Aidan Byrne |
Report : Wealth Management Firms To Jack Up CRM Spend Wealth management firms are expected to invest heavily in customer relationship management technology over the next three years, according to a new report from Aite Group. |
Financial Advisor
March 2012
David Lawrence |
Consolidation Quickens Advisors are increasingly turning to others to increase service and decrease costs. |
