Most, if not all, of Tom's biz is managed money, so no he's not writing tickets, etc. any more than any rep who's all in managed money.  By maintaining a book he deals with most of the same issues that the RJ advisors deal with on a daily basis.  He's subject to any new compliance policies, uses the technology, has to hold clients' hands when the market tanks and/or a manager's performance suffers, etc., etc.  The point is, by maintaining a book it helps him to better appreciate what RJ reps experience.  He's not management sitting in an ivory tower with little if any appreciation for the reality of this business.

FYI, Tom also got his CFP a number of years ago.  He didn't do it because he was going to be an active practicioner of financial planning.  He did it because if he and RJ were going to promote financial planning, then he felt that he, as the CEO, should have the same professional designation of the many RJ reps who follow this discipline with their clients.  He's very much a "walk the talk" type of leader.

Hey Duke, great reply.  Also, he has his name on the building and he has worked to build this business his entire life.  I think he is very invested in the success of this company.  He puts the Advisor's #2 because we are revenue.  He makes sure everyone knows that.  He has high morals and a great work ethic.  Besides that, he graduated from Havard magna cum laude and has a law degree.  Bottom line, he is smart and he makes smart decisions.

The clients are #1.

We might not be the biggest (for now) but we are the best.

Take a look at Raymond James.  The Good luck.

[quote=Wirehouse Fan][quote=maybeeeeeeee]

On the subject that was recently posted.  The one BIG bad thing I have heard about AGE and Merrill is that their top people are not advisors.  That really can affect your job.  I am at RJ and Tom James is STILL an advisor.  So , he interacts with compliance, the computer system, people, etc. just like we do everyday.  I have been here since April and I am very pleased.

Good luck.

[/quote]

From what I hear, AGE has changed a lot-not necessarily for the better-since Ben retired and Bagby took the reigns.  There was a brief period where they thought Ben's son would run the company, but he also tried to make a lot of changes and he didn't last.

Stan O'Neal may interact with compliance and other support functions, but he came up through investment banking.  He was never a broker and doesn't understand the daily struggles we face.

Are you saying that Tom James prospects, smiles and dials, writes order tickets, holds hands with clients and all the other things that go along with being a registered representative?

Do you suppose that Stan O'Neal at Merrill or Bob Bagby at AG Edwards do not interact with compliance and technology?

Finally, how is your day to day life and activities affected by what the CEO of your firm does, or does not do?

[quote=joedabrkr]

Stan O'Neal may interact with compliance and other support functions, but he came up through investment banking.  He was never a broker and doesn't understand the daily struggles we face.

[/quote][/quote]

Do you suppose that the investment bankers sit around and whine that the retail brokers have no clue to how hard their job is?

[quote=Duke#1]

Most, if not all, of Tom's biz is managed money, so no he's not writing tickets, etc. any more than any rep who's all in managed money.  By maintaining a book he deals with most of the same issues that the RJ advisors deal with on a daily basis.  He's subject to any new compliance policies, uses the technology, has to hold clients' hands when the market tanks and/or a manager's performance suffers, etc., etc.  The point is, by maintaining a book it helps him to better appreciate what RJ reps experience.  He's not management sitting in an ivory tower with little if any appreciation for the reality of this business.

FYI, Tom also got his CFP a number of years ago.  He didn't do it because he was going to be an active practicioner of financial planning.  He did it because if he and RJ were going to promote financial planning, then he felt that he, as the CEO, should have the same professional designation of the many RJ reps who follow this discipline with their clients.  He's very much a "walk the talk" type of leader.

[/quote]

Was Tom James suspended for twelve months from any association with a broker dealer back in the 1970s?

[quote=Tough Questions][quote=Duke#1]

Most, if not all, of Tom's biz is managed money, so no he's not writing tickets, etc. any more than any rep who's all in managed money.  By maintaining a book he deals with most of the same issues that the RJ advisors deal with on a daily basis.  He's subject to any new compliance policies, uses the technology, has to hold clients' hands when the market tanks and/or a manager's performance suffers, etc., etc.  The point is, by maintaining a book it helps him to better appreciate what RJ reps experience.  He's not management sitting in an ivory tower with little if any appreciation for the reality of this business.

FYI, Tom also got his CFP a number of years ago.  He didn't do it because he was going to be an active practicioner of financial planning.  He did it because if he and RJ were going to promote financial planning, then he felt that he, as the CEO, should have the same professional designation of the many RJ reps who follow this discipline with their clients.  He's very much a "walk the talk" type of leader.

[/quote]

Was Tom James suspended for twelve months from any association with a broker dealer back in the 1970s?

[/quote]

No.

[quote=Duke#1][quote=Tough Questions][quote=Duke#1]

Most, if not all, of Tom's biz is managed money, so no he's not writing tickets, etc. any more than any rep who's all in managed money.  By maintaining a book he deals with most of the same issues that the RJ advisors deal with on a daily basis.  He's subject to any new compliance policies, uses the technology, has to hold clients' hands when the market tanks and/or a manager's performance suffers, etc., etc.  The point is, by maintaining a book it helps him to better appreciate what RJ reps experience.  He's not management sitting in an ivory tower with little if any appreciation for the reality of this business.

FYI, Tom also got his CFP a number of years ago.  He didn't do it because he was going to be an active practicioner of financial planning.  He did it because if he and RJ were going to promote financial planning, then he felt that he, as the CEO, should have the same professional designation of the many RJ reps who follow this discipline with their clients.  He's very much a "walk the talk" type of leader.

[/quote]

Was Tom James suspended for twelve months from any association with a broker dealer back in the 1970s?

[/quote]

No.

[/quote]

Would you bet your child's life on that?

Look, Put, you're only going to get booted off again, no matter who you come back on as.  Give up, please.

And re Tom, check with the NASD.  You'll see he shows up with a clean record.  Maybe you're confusing things (you're confused a lot) with the old penny firm Stuart James, which has no relationship with Raymond James or Tom.

[quote=Duke#1]

Look, Put, you're only going to get booted off again, no matter who you come back on as.  Give up, please.

And re Tom, check with the NASD.  You'll see he shows up with a clean record.  Maybe you're confusing things (you're confused a lot) with the old penny firm Stuart James, which has no relationship with Raymond James or Tom.

[/quote]

The details of all actions prior to 1985, or so, are not included in the NASD's CRD system.

If you wanted to know about somebody's history prior to that date it must be requested in writing and time must be allowed to access microfilm files.

The question stands.  Do you believe that if you had access to the microfilm from the 1970s you would find that the NASD suspended a young Thomas A James, during which time he could have no association with an NASD member firm?

No replies to Put.

Whether or not the "details" of all actions are in the on-line CRD is immaterial.  His record is shown as having "no" disclosures, regardless of the details.

In any event, instead of you doing your normal slimey stuff, what not just post on here the details of exactly what you are alleging?  Put up (pun intended) or shut up!!  I'm sure Tom's attornies will have a field day with you!

[quote=Duke#1]

Whether or not the "details" of all actions are in the on-line CRD is immaterial.  His record is shown as having "no" disclosures, regardless of the details.

In any event, instead of you doing your normal slimey stuff, what not just post on here the details of exactly what you are alleging?  Put up (pun intended) or shut up!!  I'm sure Tom's attornies will have a field day with you!

[/quote]

OK.  Stand by.

I’m waiting breathlessly. 

[quote=Duke#1]I’m waiting breathlessly. [/quote]



LOL…don’t hold your breath.  Our old buddy Put has been booted again…

Duke, cool stance.  Just had breakfast with the boss today.  I’ll put him up against anyone.