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Registered Rep.
April 29, 2013
Anne Field |
Aide to the Hearing Impaired: Richard S. Brown Advisor Richard Brown works with a group, which provides hearing aids to underserved communities around the world.   |
| 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.
April 29, 2013
Megan Leonhardt |
Putting Out Fires: Shawn Babendure Advisor Shawn Babendure became a financial advisor, overseeing $152 million for clients with UBS in The Woodlands, a suburban development north of Houston. He is also a volunteer fire fighter. |
Registered Rep.
April 29, 2013
Diana Britton |
Charter School Trailblazer: Michael Brown Advisor Michael Brown has been on the board of trustees for the East Harlem Tutorial Program for several years, and he was one of the founding members of the East Harlem Scholars Academy. |
Registered Rep.
April 29, 2013
Elizabeth Ody |
Enabling the Disabled: Don Whitehead Don Whitehead wins the Advisor with Heart Award and volunteers through TIRR Memorial Hermann, a Houston hospital that specializes in rehabilitation. |
On Wall Street
January 1, 2011
Mike Byrnes |
Pulling Out All Stops Since 2008, the financial services industry has taken a beating-not just in assets under management and performance, but in reputation, as well. |
Registered Rep.
April 29, 2013
Anne Field |
A Mother's Mission: Shelly Church Advisor Shelly Church organized fundraising walks around her home of Naples, Fla., and ran the local chapter of the American Heart Association. |
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. |
Registered Rep.
April 29, 2013
Megan Leonhardt |
A Friend to Fido: Jack Wimer II Advisor Jack Wimer, a Grove, Okla.-based advisor, founded Friends of Fido, an organization focused on getting meals to pets with owners participating in the local Meals on Wheels organization. |
Registered Rep.
April 29, 2013
David Armstrong |
The Life Aquatic: Dan Altmayer Advisor Dan Altmayer not only helped raise the money to build the Highline Community College Marine Science and Technology Center, he collected some of the exhibited creatures himself, directly from the briny deep. |
Registered Rep.
April 29, 2013
David Armstrong |
Think Locally, Act Globally: Margaret Graff Advisor Margaret Graff's foundation, Mundito, supports Free the Slaves, an international organization dedicated to ending modern day slavery. |
Registered Rep.
May 1, 2008 |
Pros with Heart This year's 28th annual Outstanding Advisor Award winners could be exactly what advisors need. |
On Wall Street
October 1, 2011 |
Who's News Bank of America Merrill Lynch hired Wells Fargo advisor Adam Gurien... Morgan Stanley Smith Barney has hired a team of Wells Fargo Advisors...Raymond James & Associates hires three advisors in Hingham, Mass... more... |
Registered Rep.
April 29, 2013
Elizabeth Ody |
Soldiering On: John G. Kulhavi Advisor John G. Kulhavi probably wouldn't call himself a hero. But it's hard not to think of that word when noting Kulhavi's accomplishments as a decorated Vietnam War veteran and generous donor and volunteer for charitable causes. |
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.
December 21, 2012
Megan Leonhardt |
Looking Back, 2012 A Mixed Bag For Wirehouses Assets mostly were up, but advisors are on the move. |
On Wall Street
May 1, 2011 |
Who's News News from UBS Wealth Management, Stifel Nicolaus, and Raymond James. |
Registered Rep.
August 5, 2011
Diana Britton |
New Industry Group Aims to Support Minority Advisors The group will be called the National Association of Minority Retail Registered Representatives and Financial Advisors. |
On Wall Street
March 1, 2012
Lorie Konish |
Go,Teams! When Hilliard Lyons introduced its current team-based award program in its compensation program five years ago, it led to what Executive Vice President Darryl Metzger now calls an "A-HA" moment for the firm. |
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.
November 30, 2012
Diana Britton |
Withering Wirehouses? Not Quite. Many industry propellerheads have forecasted an exodus of wirehouse advisors to the independent channel as retention bonuses unwind this year. |
Financial Planning
April 1, 2011
Jim Grote |
Generation Next One of the biggest issues an advisory firm faces is hiring and retaining new employees, and a great opportunity to form the next generation of financial planners. |
Registered Rep.
December 3, 2013
Megan Leonhardt |
Out From Under A rising market lifts many spirits, including advisor satisfaction with the firm that employs them. |
On Wall Street
June 1, 2012 |
Who's News Morgan Stanley hired three new advisor teams... RBC Wealth Management has hired three wirehouse advisors in Illinois... Edward Jones has hired Emmy-award winning reporter/anchor Marc Cox... |
Registered Rep.
April 29, 2013
Diana Britton |
Hope Amid Uprising: Doug Myers Advisor Doug Myers and his wife have personally donated $200,000 to an Egyptian orphanage. |
On Wall Street
March 1, 2010
Helen Kearney |
Compensation 2010 Your definitive guide to the changes in advisor compensation across the industry. |
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. |
On Wall Street
March 1, 2011
Conrad & Konish |
Compensation 2011 While recruiting packages generate a lot of interest, the actual pay that advisors receive from their firms doesn't get as much attention. So once again, On Wall Street has sifted through the payout grids in our industry for a unique comparison of their pay packages. |
Registered Rep.
July 22, 2009 |
Edward Jones, LPL, Schwab: Keeping Clients Happy FAs, you better be at the top of your game. |
On Wall Street
May 1, 2013
Braswell et al. |
Top 10 Branch Managers of the Year This year s top branch managers found a way to succeed during the most challenging times. |
| Registered Rep. |
The Top 30 Independent Broker/Dealers in 2015 The list below is comprised of the 30 largest IBDs ranked by average assets under management per advisor, as of 2014. |
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. |
On Wall Street
September 1, 2008
Donna Mitchell |
Which Firms Leave Clients Most Satisfied? It's easy to call clients in good markets, but more important to call them when times are bad. |
On Wall Street
September 1, 2010
Howard J. Stock |
Talent Shortage Grips Firms As Financial Advisors Age After years of recruiting only established, top advisors in the so-called "war for talent" instead of hiring younger employees and training them, the industry is now facing a shortage. |
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. |
Registered Rep.
November 26, 2012
Mindy Diamond |
Advisors Sober Up For 2013 While the trend toward independence slowed a bit from previous years, 2012 was the year the independent channel legitimized its place next to the more traditional players. |
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. |
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. |
Registered Rep.
August 12, 2010
Jerry Gleeson |
Learn the Business of Philanthropy to Keep Assets Advisors are too focused on the nuts and bolts of financial planning and tax strategies, and not looking at the larger picture of how charity is important to their clients. |
On Wall Street
March 1, 2013
Braswell & Konish |
Compensation Plans Step Up to Next Level Compensation plans for 2013 come with new incentives for advisors to strive for growth. |
Registered Rep.
February 29, 2012
Jerry Gleeson |
It's a Tough Route for Younger Advisors Anew report by Charles Schwab, which shows that advisors under the age of 40 are more likely than their older peers to feel pressure to grow their book of business, or to focus on selling proprietary products. |
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 30, 2013
Megan Leonhardt |
Wirehouse Evolution Far from a dying model, the big brokerages are changing their game. |
On Wall Street
September 1, 2011 |
Who's News UBS Wealth Management Americas, Benjamin F. Edwards & Co., Wells Fargo, and Bank of America Merrill Lynch announce personnel news. |
On Wall Street
June 1, 2012 |
Top 10 Branch Managers of the Year As a couple of our top managers say, it is the people you surround yourself with that matters. For the 10 men and women here, it is also their understanding of how each of their advisors operate that has led to their branches' success. |
Registered Rep.
March 30, 2012
Diana Britton |
Comings & Goings: April 2012 Richard Aneser has been hired by Lincoln Financial Distributors to serve as chief marketing officer... LPL Financial named Mimi Bock as its new executive vice president of independent advisor services... Advisor ratings service BrightScope added Josh Brown... |
Registered Rep.
May 1, 2012
Diana Britton |
Seasoned Veterans General George S. Patton once said, "You cannot be disciplined in great things and indisciplined in small things." That same philosophy could be applied to being a financial advisor. |
On Wall Street
April 1, 2011
Lorie Konish |
U.S. Trust Defends Garden Policy, Codifies Processes Bank of America Corp. gave its U.S. Trust advisors notice in February that they were subject to "garden leave restrictions" if they left, sending shock waves through the industry. |
Registered Rep.
February 1, 2006
Russ Alan Prince |
Rep's Honor Here is how wealth management readily translates into additional assets under management for financial advisers and what they can do reach this target market. |
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. |
