There is a feeling among employees of small broker/dealers that regulators have it out for them. Some small b/ds (defined as fewer than 100 reps) won't go so far as to say regulators want to drive them out of business on purpose, but agree that...

Just how good are branch office managers and OSJs at supervising their FAs? While investor complaints received by the NASD have been climbing since 2002, "failure to supervise" arbitration cases have been falling steadily.

As any branch manager or OSJ will tell you, being the "head rainmaker" isn't what it used to be, what with the ever-increasing regulatory demands devouring ever more quantities of time and energy. If that weren't enough, many BOMs face yet another...

Today, the regional director is a marked man; it's not necessarily a role poised for extinction, mind you, but their ranks will be seriously culled. At least that's what some analysts and branch managers think (and some hope) is going to happen.

Despite ever-increasing compliance issues, recruiting remains the most important focus of any branch manager's job

At a time when the once-coveted job of branch office manager has become an obstacle course of administrative red tape and regulatory stumbling blocks, there may be a new hurdle on the path for branch managers at Wachovia Securities.

As with any client contact effort, the purpose needs to be clear. Intimate Client Events have a dual purpose -- to show genuine appreciation to your best clients, and to engage in high-impact Rainmaking activity.

A true Rainmaker approaches every activity and event with strategic intent -- no exception. In addition, a series of steps can be identified for each activity or event to deliberately guide your efforts to achieve your strategic intent.

Rainmakers, those who bring in 10 or more million-dollar clients each year, are masters at networking. Rainmakers learn to take networking to a higher level. They are admired for their ability to establish rapport, gain credibility, and earn trust

What made the team experience significantly rewarding for our survey respondents were six factors that produced high performance, not the factors related to team dynamics. It's a simple formula: improved team performance flows out of a hunger for...