Blog Contributors

Scott Bell

Scott is an ex-broker from one of the largest, most storied, firms on Wall Street. He left in 2008 to start his company, Gross Domestic Product, Inc., with the mission to provide thoughtful solutions for investors & investment professional...

in I Heart Wall Street Jun. 11, 2012

Career Risk

It's smart to know your limits. Sometimes "No" is the best answer....More

Diana Britton

Diana Britton is the Managing Editor of WealthManagement.com and REP. Magazine, covering asset management and independent broker/dealers from all angles. A native of Los Angeles, she now lives in Queens, N.Y.

in Indie Advisor May. 17, 2013

Walnut Street Team Turns Down Cetera Deal to Join Boutique IBD

A $145 million AUM team from Walnut Street Securities has turned down a retention deal from Cetera to join SCF Securities....More

Kristen French

Kristen French has been editing and writing news, features and analysis on the wealth management industry for seven years. Prior to that she wrote about business, markets and investing for TheStreet.com in New York and Bridge News newswire in Santiago, Chile. She lives in Brooklyn, studied...

in Due Diligence Jul. 31, 2012

Bogle: Federal Fiduciary Standard is No. 1 Priority

In an interview with Fortune magazine last week, Jack Bogle said a federal fiduciary standard is the "single most important action we need to be taking now." Bogle did not exclusively refer to the fiduciary standard that would be extended to stockbrokers serving retail investors under Dodd-Frank, but to a larger umbrella....More

David Aldo Geracioti

Is the editor-in-chief of REP. magazine.  He is also a devotee of the Austrian School of Economics leading lights Ludwig von Mises, Friedrich von Hayek, Murry Rothbard and to other thinkers in the laissez-faire political philosophy tradition.

in Von Aldo Mar. 6, 2013

The Unprecedented Happens All the Time

  In late 2011, early 2012, I was amazed and baffled by the valuations financial services stocks were being awarded. Having blown up (for all practical purposes) the financial system beginning in the summer of 2007, it was only natural that financial stocks should be sold off, because, well, some were insolvent. But as time wore....More

Jerry Gleeson

Gleeson earned an M.B.A. from the Lubin School of Business at Pace University in 2006, and completed 180 hours of course work in the Certified Financial Planner program.

in RIA Rising Aug. 29, 2012

Schwab Sees Online Trading Upgrade for Advisors in 3Q 2013

Plans to upgrade Web-based trading capabilities on Schwab Advisor Services’ platform are proceding slowly. The new system is being beta tested by a group of advisors, but don’t look for a launch until the third quarter of next year, says trading platforms Director Kevin Kraus....More

Amy Glynn

Amy Glynn is President and Founder of the Pension Resource Institute, a nationwide consulting firm helping organizations build and maintain compliant and competitive strategies in the ERISA marketplace. She is a graduate of Colgate University and is passionate about chocolate poodles and...

in ERISA Penalty Box Apr. 26, 2013

SEC 2013 Examination Focus on Retirement Plans Impact Analysis and Action Items

In addition to the registration risk factors identified above by the SEC, broker-dealers and registered investment advisors may want to consider the two cases summarized below that involved TPAs....More

Chaz Howard

Chaz Howard is the Web Producer at WealthManagement.com, where he oversees the daily maintenance of the website, social media platforms, content creation, and other digital communications, E-newsletters.

Jonathan Moreland

Mr. Moreland began working with insider data in the early 1990s while an analyst for the old Individual Investor magazine. A fundamental analyst with an MBA in finance and studying for Level III of the CFA, Mr. Moreland long ago...

in Insider Insights May. 18, 2013

Top Insider Trades 5/17/13: LIOX, LPSN, ACAD, OPK

Which stocks are getting attention from insiders?....More

Richard Roth

Richard Roth is the founder and president of The Roth Law Firm, PLLC, a boutique litigation firm that concentrates in litigating securities arbitrations and SEC/FINRA enforcement actions. He has earned a...

Five Tips To Prevent A Suit Against a Stock Broker

Times are great. The market is soaring. Stocks are generally doing well. And the woes of 2007 and 2008 are a faded memory. And, of course, all customers are singing the praises of their registered representatives – until the next crises....More

Abby Salameh

Super Mom, Power Pilates and anything covered in chocolate.  These are the things Abby enjoys, in addition to the financial advisor industry.  For over 20 years, Ms. Salameh has been intimately involved in the evolution of the advisor industry; from her early days at Sanford C....

My Pipeline is Dry

Ever feel like you completely tapped out your sources for new business? It's a common feeling amongst advisors and one can that be overcome....More
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Absolute Perfection

This flawless, 101.7-carat, pear-shaped diamond—one of the world’s largest —will go up for auction at Christie’s “Magnificent Jewels” sale in Geneva on May 15, 2013. How much will it sell for? Choose the correct answer and registered site users will be eligible to win a one-year subscription to Christie's Geneva Jewelry sales catalogue, courtesy of Christie's. 

Image courtesy of  Christie’s Images Ltd. 2013

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Life after wirehouse? 1

After 18 months in the industry, all at WFA, I will be leaving the firm. I have not had great success at a wirehouse. It started well in the apprentice period and the first 6 months, but I missed my hurdle at the 9 month mark and have been scraping by ever since. After taking a further look at the requirements for the next 3 years, I realize that my head is going to be on the chopping block for most of that time barring someone in my network hitting the Powerball. I take full responsibility for this, but I will add that my firm has offered me little, if any, support at the local level....More
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Most Recent Blogs & Columns
May 17, 2013
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Walnut Street Team Turns Down Cetera Deal to Join Boutique IBD

A $145 million AUM team from Walnut Street Securities has turned down a retention deal from Cetera to join SCF Securities....More

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