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Registered Rep.
January 3, 2012
Jerry Gleeson |
Raiders of the Wirehouse Ark The emergence of HighTower as a major player in the independent space also dovetails with the changes that have shaken the wirehouse industry since the 2008 financial crash.   |
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
October 2011 |
Frontline News Independent Advisors On The Rise... Uncertain Times For BofA Advisors... Gen Y Good Target For Advisors... etc. |
Financial Advisor
September 2009 |
Frontline News News for the financial services industry: Regulations, Fiduciaries And Other Things... Breakaway Broker Trend Slowing?... Barney Frank Won't Push SRO For Advisors... CFP Board's Proposed New Education Standard... M&A Activity Down, But Not Out... more... |
Financial Advisor
May 2011
Sherri Scordo |
Frontline News Is the broker protocol being eroded... Fiduciary can be marketing tool to get high net worth clients... Americans unconfident about their retirement... |
Investment Advisor
April 2006
Melanie Waddell |
Catch Up How financial advisors can meet the challenge of keeping pace with their clients' retirement needs in a changing world. |
On Wall Street
September 1, 2012
Elizabeth Wine |
Financial Advisors Turn to the 401(k) Market for More Business Advisors look to 401(k) plans as fertile ground for business. |
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.
August 12, 2011
Diana Britton |
Retirement Income Fever The industry has responded to the great wave of retirees that has just begun with an increased focus on creating retirement income streams -- successfully. It's always a tough feat, what with expanding life expectancies and estimating health care needs far out in the future. |
Registered Rep.
December 1, 2006
John Churchill |
Of Two Minds An internecine argument at the FPA gets to the heart of one of the industry's more vexing problems: Should brokers be able to position themselves as financial planners? |
Registered Rep.
January 1, 2006
John Churchill |
More, More, More Faced with growing competition from other advice providers and fewer inherent advantages in the way of products and platform capabilities, wirehouse brokers will feel pressure to do more fee-based business and to make wealthier clients a bigger part of their practice. |
On Wall Street
July 1, 2010
Lauren Barack |
Beating Back The Independents So a mere eighteen months after the sky fell, is it really possible that life at the wirehouses isn't so bad? |
Financial Advisor
May 3, 2010 |
Frontline News News: CFP Board Posts Anonymous Case Histories... Rx Needed For Long-Term Health Care Companies... Plan Ahead To Cushion Medicare Surtax... Estate Planning? More Americans Say 'No Thanks'... Investors Seek More Advice... more... |
Financial Advisor
October 2008 |
Frontline News News: Wall Street Meltdown Could Swell RIA Ranks... Citigroup Defection Illustrates Talent Flight To RIAs... Merger Creates $1 Billion Fee-Only RIA Firm... Boosting Retirement Savings Longevity... Is The Commodities Party Over?... Hometown Investing Can Spoil A Portfolio... |
On Wall Street
March 1, 2013
Samantha Allen |
HighTower Aims to Lure Top Names with Home Office Visit HighTower Advisors has steadily worked to carve out a role as an emerging boutique firm through its high-profile advisor recruitment wins. Many prospective hires are attracted after their first home-office visit. |
Registered Rep.
July 14, 2011
Jerry Gleeson |
Wirehouse Breakaways Eye HighTower Model VWG Wealth Management, with assets of $700 million, is the fifth wirehouse team this year to join HighTower Advisors, a Chicago-based hybrid RIA with national reach and $18 billion in AUM. |
Registered Rep.
March 16, 2012
Kristen French |
Wire Houses Minting Fiduciary Advisors -- Or Are They? None of the firms will go on record as to whom specifically in the rank and file is adopting the standard, nor will they provide much detail on what that training looks like. |
Investment Advisor
March 2009
Melanie Waddell |
Cover Story: Patience In the quest to generate retirement income for their clients, many advisors relied on their investing-for-accumulation roots, and therefore were not focused on retirement income planning. |
Registered Rep.
May 13, 2009
Christina Mucciolo |
Wall Street Squeezes Small Brokers, Many Go Independent In this brutal market, many advisors are taking payout cuts or being let go. But many of these advisors are finding homes at independent and regional b/ds and RIA firms. |
Investment Advisor
March 2010
Melanie Waddell |
Cover Story: Custom Job All signs point to 2010 as the year in which many substantive retirement planning reforms will either be cemented or set into motion by Congress and the Obama Administration. |
Financial Advisor
December 2010
Jeff Schlegel |
Opening The Doors The industry needs to attract younger advisors, but do opportunities exist? |
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 Planning
June 1, 2011
Donald Jay Korn |
FP 50: Revenue Rising The money stream is flowing again: After two years of stagnant or, worse, shrinking revenue, the 50 largest independent broker-dealers report their annual revenues rebounded last year - significantly in many cases. |
Financial Advisor
June 2009
Jeff Schlegel |
Money In Motion The economic crisis has wreaked havoc on wirehouses, and more advisors are looking for new opportunities. |
Financial Advisor
August 2, 2010 |
Frontline News Advisor News: Gulf of Uncertainty... Small Broker-Dealer Market Shrinking... FINRA Issued More Fines, Disciplinary Actions in '09... Advisors Expect Revenue Rise In '10... Annuities Could Gain Traction In 401(k) Plans... |
On Wall Street
August 1, 2010
Aarti N. Maharaj |
The Wirehouse Way While the lure of independence has traditionally been viewed as the ultimate siren song for many advisors, many in the industry are finding good reasons to stay with the big companies. And it's not all about the money. |
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. |
| Financial Advisor |
Frontline News News of interest to advisors: Clients want insured investments... Francais succeeds Kochis as Aspiriant CEO... Financial Planning Association's Top Lobbyist Stepping Down... New Web sites keep advisors honest... more... |
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. |
On Wall Street
September 1, 2010 |
Debating The Retirement Challenge At the On Wall Street Roundtable held recently in Lower Manhattan, the experts weighed in on the most significant retirement issues for advisors and their clients in an unsettled market |
Registered Rep.
February 23, 2010
Halah Touryalai |
Clients, The New Breakaways First, there was the breakaway broker phenomenon; now, it seems, we have a growing vogue of breakaway clients -- former wirehouse investors who ditch their old advisors for new ones at independent RIAs or broker/dealers. |
Investment Advisor
March 2007
Melanie Waddell |
Leading the Way This year is shaping up into one in which advisors will have to stay compliant with a plethora of retirement planning rules and regs if they expect to stay firmly rooted in the retirement planning arena -- and doing what's best for their clients. |
Financial Planning
October 2, 2007
Jack W. Callahan |
Embrace Change Advisors have to adapt their practices to accommodate retiring clients. |
On Wall Street
July 1, 2010
Frances A. McMorris |
The Burgeoning Battle For The Best And The Brightest What are the wirehouse behemoths doing to keep their advisors happy, attract others, and, in turn, maintain the bulk of high-net-worth client assets? |
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. |
Registered Rep.
November 4, 2011
Kristen French |
Indie Exodus: Overhyped? In 2009, in the wake of arguably one of the biggest financial crises this country has seen since the Great Depression, over 3,000 financial advisors left Merrill Lynch, UBS, Morgan Stanley and Wells Fargo to start life over at an independent broker/dealer or RIA firm. |
Investment Advisor
August 2009
James J. Green |
Free It's the concept and reality of joining a true partnership that has led some of the biggest advisors at the biggest Wall Street firms to join HighTower Advisors. |
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 Advisor
November 2008
Gail Liberman |
War Breaks Out For Wirehouse Brokers The economic crisis on Wall Street, among many other things, is causing wirehouse brokers to reconsider the value proposition offered by the giant financial service firms. |
Registered Rep.
December 1, 2015
Diana Britton |
Old-Fashioned Exams Financial advisor exams vary in their requirements, but for any individual looking to work in a brokerage firm or sell investments, the Series 7 exam is the mandatory gateway. |
Financial Advisor
January 2012 |
Frontline News Advisors who want to recruit Gen X and Gen Y members as clients should look to the children of their existing clients who are in or near retirement. |
Financial Advisor
September 2012
Jeff Schlegel |
Not Making The Grade Financial advisors aren't as fiduciary as they should be, a new survey finds. |
Financial Advisor
December 2009
Sherri Scordo |
Frontline News Financial sector news: Financial Services Overhaul Getting Closer... McCann Making Mark At UBS... Main Street Securities B-D Now With National Planning... Small B-Ds Could Face Large Audit Costs... more... |
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. |
On Wall Street
March 1, 2010
Helen Kearney |
Compensation 2010 Your definitive guide to the changes in advisor compensation across the industry. |
Financial Advisor
January 6, 2010 |
Frontline News Private-Placement Claims Surge... Holding Companies Holding On... Thin Wallets... Average Withdrawal Rates Decrease... UMAs Slow To Win Fans... |
Investment Advisor
January 2007
Ivanova & Kahler |
The ABCs Of Retirees To meet the needs of retiree clients, financial advisors will need to beef up their knowledge not only of investment-related retirement issues, but also non-investment areas. |
Investment Advisor
September 2009
Lewis Schiff |
The Affluentialist: Building Retirement Portfolios Now Few advisors use a cookie cutter approach to retirement income support. |
Registered Rep.
June 1, 2006
Kristen French |
The Wealth Management Quest Are you really a wealth manager? Do you know what the phrase really means? It pays to know, because a new compensation report shows only 8% of advisors -- across all business channels -- actually fit the bill. |
Financial Advisor
June 2008 |
Frontline News News: As the number of financial advisory players shrinks, recruiting intensifies... Pomering to run Moss Adams' RIA unit... Pershing advisor solutions sets exec committee... Larger taxable distributions on mutual funds... etc. |
