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  • Oct. 1, 2011
    article
    REP.

    60 Seconds: October 2011

    Registered Rep.: You took over for the retiring Mike Kavanagh in January. What did CEO John Taft tell you was your priority? Catie Tobin: To grow the business in terms of new RIA firms and new independent broker/dealers on our correspondent side. We ......More
  • Apr. 1, 2011
    article
    REP.

    The Myth of the Vanishing Advisor

    The average financial advisor is in his 50s and mulling retirement. The total number of advisors in the industry has been flat for years and is expected to decline in coming years. These facts are constantly trotted out as proof that a talent crunch is at hand in the industry. But in fact, it may be no big deal....More
  • Nov. 8, 2010
    article
    REP.

    Merrill Strengthens Golden Handcuffs For New Hires, Recruits Small Fry 1

    Merrill Lynch released a new broker recruiting deal a few weeks ago—with two major changes. First, a new hire must now stick around for 14 years instead of nine to get his entire recruiting bonus, and all of the back-end money is now deferred. Second, the firm is now offering recruiting bonuses to fourth quintile advisors....More
  • Nov. 2, 2010
    article
    REP.

    RBC Chops Payout for Its Small Advisors

    Like many large Wall Street broker/dealers before it, RBC is sending a message to advisors who are generating below average revenue: Get your numbers up or take a walk....More
  • Aug. 9, 2010
    article
    REP.

    Retaining Your Best Advisors

    The dizzying industry turmoil of the last few years has induced wirehouses to offer their top producers some of the largest retention packages ever. It was bound to happen, industry insiders say, as these folks had many more questions than answers about their futures—and those of their firms. Still, the deals aren’t necessarily buying advisor loyalty....More
  • Aug. 1, 2010
    article
    REP.

    Ten to Watch 2010: The New Custodian

    Michael Kavanagh, Chief administrative officer, head of Independent Business Channels at RBC Wealth Management...More
  • Jul. 19, 2010
    article
    REP.

    Edward Jones, RBC top J.D. Power investor survey

    Edward Jones topped annual investor satisfaction rankings compiled by J.D. Power and Associates for the second consecutive year, with RBC Wealth Management a close second, according to the study released yesterday. (See how they rated.) Overall investor satisfaction with the dozen companies in the study was markedly higher this year, although the survey also showed that investors increasingly believe that investment firms are more focused on profits than on customer satisfaction....More
  • Jun. 3, 2009
    article
    REP.

    ARS Games—SEC Blames Firms, Settles with BAC, RBC and DEUTSCHE

    When the auction rate securities market froze up in February 2008, angry clients blamed their financial advisors; financial advisors blamed their firms. Today, the SEC announced finalized settlements with Bank of America, RBC Capital Markets and Deutsche Bank, “resolving SEC charges that the firms misled investors regarding the liquidity risks associated with auction rate securities (ARS) that they underwrote, marketed or sold,” the SEC said in a statement today....More
  • Mar. 1, 2008
    article
    REP.

    RBC's Buying Spree

    RBC Dain Rauscher continued its recent streak of acquisitions in February, announcing plans to acquire Ferris, Baker, Watts (FWB), a full-service broker/dealer...More
  • Feb. 14, 2008
    article
    REP.

    RBC Dain’s Acquisition Strengthens East Coast Reign

    RBC Dain Rauscher is continuing its recent streak of acquisitions, part of an effort by Canadian parent Royal Bank of Canada to build a bigger presence in the lucrative U.S. wealth management market. Dain announced today plans to acquire Ferris, Baker, Watts (FWB), a full-service broker/dealer in Washington D.C....More
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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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