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Tracy Herman

Tracy’s Recent activity

Night Market Fever
Dec 01, 2000
Technology enables investors to trade after normal market hours. But is this a good thing?Technology has opened up the world of after-hours trading previously reserved for institutional investors. Your clients may be...
FPA Studies Adviser Practice Profitability
Nov 01, 2000
Fee businesses have more assets, higher expenses and bigger valuations.A major study of independent financial advisory firms shows that profitability varies widely. The survey found, surprisingly, that adding...
On Margin
Oct 01, 2000
SIA brochure covers the basics of buying stocks on margin. If your clients are curious about margin loans, you can refer them to a new SIA investor brochure, "Buying Stocks on Margin." It covers the benefits and risks...
Intuitive Assistance
Oct 01, 2000
Who would have imagined that spending the night at a friend's house as a teenager would lead to the career of a lifetime? That's what happened to Vicki Harris. She and her best friend, Laura Bond, were in their...
Schwab to Recommend Stocks
Oct 01, 2000
In June, David Pottruck, Charles Schwab & Co. co-CEO, stated that the firm would be offering individual stock recommendations within a year.A spokesperson from the San Francisco-based discount brokerage confirms that...
Skid-Proofing
Oct 01, 2000
Lawyers describe five stumbling blocks that trip up brokers and make defending claims difficult.Sometimes you can avoid legal pitfalls, and sometimes you can only de- fend yourself. Here are the most common...
Going Independent--Is It In You?
Aug 01, 2000
In April 1998, David Edstrom was ready to throw in the towel as a broker. He had been a rep with Merrill Lynch in suburban Chicago for a few years, and he was burned out.He took some time off to think about what to do...
Industry Issues
Aug 01, 2000
Independent firms may be booming, but there are some rough spots to overcome. Stability, consolidation and regulatory problems are just a few.Forging Stability There are two questions about stability in the...
Inquiring Minds
Aug 01, 2000
Here are 22 pointers from recruiters, indie firm execs and brokers on how to research an independent broker/dealer.1) Make a list and check it twice. "Make a checklist of the issues that are important to you," says...
Maximizing Technology's Benefits
Jun 01, 2000
Kevin Cork, a Canadian rep who calls himself "The Screaming Capitalist," uses technology extensively to work with clients and run his office.Kevin Cork's first computer in the early 1980s was an Atari 400. Remember...
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