Raymond James Reminds New $4 Million Team of Wheat First Days
Apr 05, 2012
A $4 million revenue producing team from Wells Fargo Advisors Financial Network (FiNet) has jumped ship to Raymond James Financial Services, the firm’s independent contractor unit.
Rep. TV at the TD Ameritrade Conf. with David Stone
Apr 05, 2012
Data Dive: Where Brokers Get a Second Chance
Data Dive: Where Brokers Get a Second Chance
Apr 05, 2012
Very few "terminated" brokers find work again in the industry, regardless of circumstances. What firms will hire them? Author and financial advisor Josh Brown looks at the numbers to find out.
Enhancing the Affluent Client Experience
Apr 05, 2012
Many financial advisors fail to consistently provide their affluent clients with the high level of service that they claim to offer. Advisors who take the concept of “client experience” seriously develop what I refer to as a client...
THE INTELLIGENT INVESTOR: How To Find the Best ETFs
Apr 04, 2012
First, you need to determine the category or sector to which you want exposure.
DUE DILIGENCE: Rebuked In $10 Million Comp Case, Merrill Fires Back
Apr 04, 2012
A Financial Industry Regulatory Authority arbitration panel ruled Tuesday that Merrill must pay $10 million to two brokers, Meri Ramazio and Tamara Smolchek, for preventing them from collecting deferred compensation when they left after Bank of...
YIELD OF DREAMS: Can American Funds Win Back Advisors?
Apr 04, 2012
American Funds, which has notoriously and historically been media-shy, is now trying to change that, at least with advisor-facing publications. And there’s good reason for the change.
DUE DILIGENCE: Stockbrokers, Clients Thrive in Fiduciary States
Apr 04, 2012
Critics of a fiduciary standard for stockbrokers beware: A recent study released in early March suggests that application of a fiduciary standard to the broker/dealer model wouldn’t have the terrible...
Advisors Needed in Tulsa?
Advisors Needed in Tulsa?
Apr 04, 2012
New studies turn up some surprising locales as the best cities to set up a wealth management practice.
Caution: Contents May Be Hot
Caution: Contents May Be Hot
Apr 03, 2012
Innovation is a constant in the world of investing. New spins on old ideas are forever being dreamt up by product departments most of them are meant to make lots of money for the people who sell them and the investors who buy them. Not all of them...
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