Lyn Hennion, Strand Atkinson Williams & York, Medford, Ore. After 10 years on the road as a wholesaler for Franklin Templeton funds, Lyn Hennion, CFP, decided that "a grandma shouldn't be a traveling salesperson."So in 1994, she took a job as a...
What's in a name? A lot, if you're a younger broker just starting out.According to a survey of 334 prospective brokers by Securities Training Corp., New York, nearly three-quarters of reps 25 years old or younger say recognition of their firm's...
Nadav Baum, Salomon Smith Barney, Pittsburgh While his friends were sound asleep or watching cartoons on Sunday mornings, 10-year-old Nadav Baum was out delivering bagels, orange juice and a copy of The New York Times to clients in his Pittsburgh...
David Harris, Salomon Smith Barney, Houston David Harris got his business off to a fast start, which is remarkable considering the two strikes against him-the time and the place. His first full year as a broker was 1987, the year of the crash. And...
The war between the SEC and its employees who want a union has become downright nasty.The SEC has appealed a Federal Labor Relations Authority (FLRA) ruling that supported agency employees' efforts to unionize nationwide. SEC employees are...
Bruce Johnson, CapTrust Financial Advisors, Holland, Mich. Bruce Johnson couldn't find a job in the brokerage industry. Firms weren't hiring in the bear market of early 1982-especially for college kids like Johnson, who had just ditched plans for...
Doug Stewart, First Union Securities, Fredericksburg, Va. Doug Stewart takes a professorial approach to his business, educating clients so they know and understand their investment choices. "It gives them tools they can use and makes them more...
The very nature of a stockbroker's job puts him or her in daily contact with bulls and bears. A recent study shows it may be time to add cats and dogs to the mix.According to a study conducted by Karen Allen, M.D., of the School of Medicine at the...
Once upon a time, full-service brokers were worried about losing the next generation of investors. But now, traditional firms are convinced they can attract the new wave of emerging investors--even when those investors may not want a broker.These...
