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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.
July 26, 2011
John Aidan Byrne |
Online Brokerages Still Grabbing Market Share From Wirehouses Online brokerages continue to take market share from the wirehouses, according to a new report. |
Registered Rep.
November 30, 2010
John Aidan Byrne |
Report: Merrill Edge Threatens Online and Regional Brokers, Not Its Own FAs A new report by research firm Aite Group this week, sees Bank of America Merrill Lynch's recently expanded online brokerage business -- as a serious challenge to the online business of powerhouses such as Charles Schwab and Fidelity Investments. |
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. |
Registered Rep.
August 26, 2010
John Aidan Byrne |
Neck And Neck, Morgan and Merrill On Hiring Sprees Both firms say they plan to add net financial advisors in 2010, adding to stated plans to sign up 2,000 trainees each this year. |
Financial Planning
August 1, 2010
Donna Mitchell |
Who's Planning? A study by Boston-based AiteGroup found that only 18% of independent advisors make financial planning the center of their practice. |
Registered Rep.
July 7, 2011
John Aidan Byrne |
Good On-boarding A Key Competitive Edge For Wealth Management Firms Good on-boarding can be a selling point with advisors and their clients, who may be convinced to give the firm a larger share of their assets, while poor on-boarding efforts can cause clients to pull their business. |
Registered Rep.
June 1, 2010
John Aidan Byrne |
Bank of America Ramps Up Online Brokerage Bank of America is making a push into electronic brokerage services, a menu that includes free online trading and a new platform called Merrill Edge, set to debut in late June. Some say the new services will steal business from Merrill advisors. |
Registered Rep.
January 28, 2011
John Aidan Byrne |
Banks Losing Mass Affluent To Online Brokerages U.S. and Canadian banks say developing mass affluent wealth management business is a top priority, but they're not doing enough about it. |
Registered Rep.
June 6, 2011
John Aidan Byrne |
Wall Street Brokerages Set For More Advisor Defections? Switching for big signing bonuses spiked during the recent financial crisis when Wall Street's biggest brokerages merged or were acquired. But it died down a bit after Merrill Lynch and Morgan Stanley offered their financial advisors retention packages. |
Bank Technology News
March 2011
John Adams |
Self Service With An Edge When it comes to attracting wealth management clients, the new focus is entirely on control - specifically giving control to customers via electronic channels. |
On Wall Street
November 1, 2012
Mason Braswell |
Back Office Headaches: Inefficiencies Delay Account Opening Inefficiencies in account opening irk advisors and potential clients alike. |
Registered Rep.
December 1, 2006
Kristen French |
60 Seconds with Deborah Doyle McWhinney A short interview about the rivalry between the registered investment advisor (RIA) firms that Schwab caters to and Wall Street wirehouses. |
Registered Rep.
March 9, 2011
Kristen French |
Morgan Stanley Cutting 200-300 FAs And Trainees The firm's wealth management division, Morgan Stanley Smith Barney, should end the quarter with about 17,800 advisors, still the largest brokerage force in the U.S. by headcount. |
CRM
February 2013
Leonard Klie |
Financial Services: Brokers Yearn for Better CRM Few firms use CRM systems to their full effect. |
Registered Rep.
April 16, 2010
Jerry Gleeson |
Merrill Advisor Defections Flat In Q1, Profit Falls Profits were down last quarter at Merrill Lynch but the brokerage's performance still helped to lift the fortunes of its new parent, Bank of America Corp. |
Registered Rep.
April 15, 2011
Kristen French |
Merrill Earnings Strongest Since Bank of America Takeover Bank of America's Global Wealth and Investment Management division, which includes Merrill Lynch, reported its highest earnings since Bank of America's takeover of Merrill in late 2008, as asset management and brokerage fees rose. |
Financial Advisor
March 2012 |
Keeping Up In An Evolving Space Scalability. Profit pressures. Self-directed investing. Increased use of mobile applications. These are some of the trends to watch in the financial advisor industry in coming months. |
Registered Rep.
August 4, 2009
French & Churchill |
Dan Sontag Departs Merrill Lynch Much beloved by Merrill financial advisors, Dan Sontag is stepping down as head of Merrill Lynch Global Wealth Management. |
Registered Rep.
November 6, 2008 |
Bank Of America To Sign Protocol, Herd Still Weighing Options Bank of America intends to sign the so-called "broker protocol," an agreement signed by most of the brokerage firms and RIAs stipulating what client information is acceptable for a departing financial advisor to take without getting sued by the former employer. But when? |
Registered Rep.
January 6, 2009 |
Sontag Takes McCann's Job At Merrill More shocking to Merrill Lynch advisors than the sudden departure of their leader is the disappearance of the "MER" logo from their computer screens. |
Financial Planning
December 1, 2012
Joel Bruckenstein |
Financial Planning 2012 Tech Survey The readers of Financial Planning evaluate the software, hardware, mobile devices and advisory platforms that planners use most. |
CRM
December 1, 2006 |
The Pulse: In 2007 my Company Plans to... Increase its CRM budget: 40%... Maintain its CRM budget: 27%... etc. |
On Wall Street
November 1, 2010
Michelle Lodge |
Advisors List Their Biggest Challenges Complexity isn't the biggest challenge facing advisors. A whopping 86% said they viewed consumers' lack of trust in the industry as their biggest barrier to a thriving business. |
Registered Rep.
December 21, 2011
Diana Britton |
Aite: Bloom Coming Off the Rose of Social Media? Financial advisors are just getting started, and already, the bloom seems to be coming off the rose, Aite Group says. |
Registered Rep.
November 29, 2011
John Aidan Byrne |
UBS: Going Mobile with an FA App Financial advisors at UBS Wealth Management Americas are about to go more mobile - in a far-reaching pilot program that enables them to use an extensive array of UBS tools and other applications. |
Registered Rep.
October 1, 2010
John Aidan Byrne |
Who Will be Number One Among the Wirehouses? A good old-fashioned Wall Street fight for retail assets -- and a fierce tussle over which firm can call itself the Number One retail wealth management firm on Wall Street -- is brewing. |
InternetNews
February 26, 2007
Michael Hickins |
Salesforce to Offer Wall Street Support Salesforce.com will offer a new wealth management tool and announce its Merrill Lynch win. |
Investment Advisor
July 1, 2011
Spenser Segal |
The Relationship Manager Customer relationship management software can help you grow your business, but many advisors don't take advantage of all that the technology has to offer. |
Registered Rep.
February 7, 2012
John Aidan Byrne |
UBS' U.S. Brokerage Boosts Profits, Boasts Most Productive Advisors Despite global market conditions that lowered asset-based fees and transaction-based income, UBS Wealth Management Americas ended 2011 on firmer footing, earning $573 million for the year on revenues of $5.96 billion. |
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. |
Financial Advisor
July 2010
Bernie Clark |
Gunning For Growth RIA firms estimate that they'll see 15% revenue growth this year. An emphasis on efficiency will free principals to go after new business again. |
Registered Rep.
July 18, 2007
Kevin Burke |
Merrill Reports Strong Revenues, Adds 270 Advisors Merrill Lynch's retail brokerage arm turns in another strong quarter, as fee-based revenue continued to climb to record levels. |
Registered Rep.
June 1, 2005 |
60 Seconds with Bob McCann The Vice Chairman of Merrill Lynch's Wealth Management Group talks about the brokerage giant's hiring plans and other current initiatives. |
Registered Rep.
April 17, 2009
Halah Touryalai |
Smith Barney Losing Advisors, Client Assets But while Smith Barney is losing reps, it also appears to be recruiting heavily. |
Registered Rep.
October 5, 2009
Kristen French |
Merrill Launches Branding Campaign; Recruiting Net Positive The new campaign Monday will cost the firm $20 million in the fourth quarter, the most Merrill has ever spent on marketing. |
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. |
Registered Rep.
March 4, 2009
David A. Geracioti |
The Conflicts of Interest in Not Being a Fiduciary; Hang Charlie Merrill In Effigy? At least one commentator is calling for Charlie Merrill to be hung in effigy for creating the modern-day, hard-charging, sales-oriented brokerage called Merrill Lynch. |
Registered Rep.
February 3, 2010
Kristen French |
Merrill Plans Trainee Hiring Spree Bank of America plans to rebuild its brokerage force in 2010 by adding rookie advisors rather than competing for talent in the industry's expensive recruiting war. |
Registered Rep.
November 6, 2012
John Aidan Byrne |
DIY Platforms Are Gaining the Mass Affluent Pressure to serve only the wealthiest, wirehouses are ceding the mass affluent to the independent, DIY brokerage platforms. Indeed, "direct" brokerages are beginning to offer more advice. |
CRM
March 2012
Jim Dickie |
Are the CRM Wars Really Over? Existing CRM users would be well advised to test the waters to see if something that would work better for them exists. |
Registered Rep.
May 31, 2013
Megan Leonhardt |
Sizing Up the Street In the latest earnings cycle, here's how the wirehouses stacked up. |
Registered Rep.
October 28, 2008 |
Merrill Retention Package Angers FAs With "TRO" Language Merrill Lynch financial advisors are worried about one paragraph in the retention contract they received last Friday, October 24 -- very worried. And it has to do with the so-called broker protocol agreement. |
CRM
July 13, 2012
James Wong |
Change Is the Name of the Game How current technology trends are affecting CRM. |
On Wall Street
April 1, 2010
Howard J. Stock |
Back Office Move Has Advisors Up In Arms -- Some Bolt Questions surround what will happen to BAI clients when Merrill moves their accounts from National Financial to Merrill Lynch. |
Registered Rep.
February 13, 2012
Jerry Gleeson |
Raymond James Ramping Up Its RIA with New Leadership, Investment The new president, Bill Van Law, said the company plans to make a significant investment in the business in the months ahead. |
Registered Rep.
April 21, 2011
Diana Britton |
Raymond James Adds Assets, Loses Advisors Raymond James Financial's Private Client Group led the firm's growth in the second quarter. |
InternetNews
February 17, 2011 |
Microsoft Expands Dynamics CRM 2011 Options The initial release of Dynamics CRM 2011 ran in Microsoft's cloud, but now the software giant is giving customers more options. |
Financial Advisor
December 2011
Eric Rasmussen |
Free-Range Advisors Custodians to independent advisors are in an arms race to give bigger, better software and practice management packages. |
Registered Rep.
October 27, 2008
John Churchill |
Separate BofA Retention Package Targets Top Half of BofA force Only 50 percent, or roughly 1,000 of the 2,000 Bank of America Investment Services financial advisors, will see a retention bonus. |
