News reports this week that Citigroup is set to merge 30 more offices should not come as any surprise. Although the firm wouldn’t comment, Citigroup’s closing of Smith Barney branches would follow trends...
News reports this week that Citigroup is set to merge 30 more offices should not come as any surprise. Although the firm wouldn't comment, Citigroup's closing of Smith Barney branches would follow trends at other Wall...
If you've prospected for millionaire clients, you've probably sought out individuals with social status and the material trappings of wealth. Indeed, the nation's affluent are portrayed in the popular culture as an...
If you are a producing supervisor and work alone in a remote office, the NASD is sending you (and management) a special message: Exception reports alone may not be enough supervision. On Feb. 21, the NASD announced it...
Attention branch managers: Your job may have a lot more significance than that of your company’s CEO—at least when it comes to the reps you manage. That was the overwhelming result of an informal poll we...
It's January. Everyone wants to become his "ideal self," you know, tackle all those bad habits and really kick it hard. So, as a service to our loyal readers, we asked several branch managers and compliance experts...
Branch managers are busier than they ever have been. Sure, compliance issues have grown. (Outside of the firearm industry, can you think of a more regulated business?) But it's not just the increased compliance burden...
Branch managers say they sometimes get the feeling they are wearing bull’s-eyes on their backs. Perhaps they are. And it’s not just because as a branch office’s supervisor they are often held...
