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Treating Prospects to Tea
Dec 01, 2000
Small-group seminars have brought in more than $30 million to Terry Cohea of D.A. Davidson in Helena, Mont., over the past two years. Perhaps it's the special flair of her private afternoon teas and dessert evenings...
Freezing Cold Calling
Dec 01, 2000
Former Merrill Lynch managers and consultants Rich Capalbo and Rod Hagenbuch contend that brokers have too many small accounts that bring in little revenue. They say 60% of a broker's book results in 4% of his revenue...
Your True Feelings
Dec 01, 2000
So how do brokers really feel about their firms? Many alternately gushed, groaned and gloated. We collect their heartfelt opinions in our exclusive Brokerage Report Card survey.A year ago when Registered...
Compliance Overkill at Wells Fargo?
Oct 01, 2000
A number of Wells Fargo bank brokers who have resigned or been terminated contend that the bank is taking compliance overboard--in some cases, for its own purposes.
Merrill Lands Goldman Producers
Oct 01, 2000
While retail brokerage is far from being an integral business at Goldman Sachs & Co., Wall Street's most prestigious investment bank has to be a bit shaken by the number of brokers beating a path from its boutique...
SEC Has No Evidence U-5 Defamation Claims Hurt Firms
Oct 01, 2000
Last April, Rep. Edward Markey (D-Mass.) wrote to SEC Chairman Arthur Levitt asking for a list of cases in which brokerage firms were successfully sued for disclosing truthful information on U-5 forms.In a May...
Merrill Lynch Drops Financial Plan Quota
Sep 01, 2000
Merrill Lynch in early August dropped its financial plan quota for brokers.The new policy was hinted at by Merrill President Stanley O'Neal when he took over the retail reins this past February from longtime private...
Million-Dollar Producers
Sep 01, 2000
LIZ ANGELONEFirm: Merrill LynchOffice: Stamford, Conn.Years in Business: 10Production: 1.1 million dollarsAssets: 200 million dollarsStaff: One assistant shared with another repTen years ago, Merrill Lynch financial...
A New Arena
Jul 01, 2000
The staggering escalation of salaries for professional athletes over the past 20 years has meant that many players learned a lot about stocks, bonds, mutual funds and annuities. A handful of former pros enjoyed...
'Ware It's At'
Jun 01, 2000
Software can help you handle clients and investments more efficiently. Browse Registered Representative's annual technology guide for programs that contact, plan, analyze and manage.CONTACT MANAGEMENT PROGRAMS* Bill...
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