National Financial Partners (NFP), the national distribution network of independent registered investment advisors, is set to go public imminently. Last month, the Manhattan-based firm filed its S-1 registration...
What makes a broker successful? Age, experience, years at one firm, education--the more of all those things, the better. One other helpful hint: It's not where you work, but how you work that is important.
Pending legislation could clear the way for advisors with 401(k) business to sell financial advice to plan participants. On May 14, the House of Representatives passed the Pension Security Act of 2003, the first step...
The defection of over 30 Waddell & Reed advisors in the New York and Connecticut region to Washington Square Securities (WSSI), an ING affiliate, has driven a wedge between the firms. Waddell has notified ING that it...
Brokers making cold calls could soon face more than angry voices and dial tones. Beginning in September, companies that engage in phone solicitation will be required to use federally maintained do-not-call lists, with...
