Morgan Stanley 2001 Complete Broker Comments

Nov 26, 2001

A (Hiring/recruiting) “It’s about average for the street. I don’t really get into that.” (Training) “There’s quite a bit of room for improvement.” (Overall) “The strength of this firm is in [its]...

First Union 2001 Complete Broker Comments

Nov 26, 2001

A (Sales support) “Not always easy to get questions answered.” (Quality support) “We don’t get our own sales assistants. We actually share one from a different office. That’s a little bit of a problem.” (Sales...

Merrill Lynch 2001 Complete Broker Comments1

Nov 26, 2001

A (Technology) “Lagging behind other firms on the street.” B (Hiring/recruiting) “We’re in a hiring freeze right now so nothing’s happening in that area.” (Account statements) “There’s so much...

Smith Barney 2001 Complete Broker Comments

Nov 26, 2001

A “I have no complaints.” B (Research): “I don’t think any firm’s research is good. All firms are too tied to companies. Small firms, regional firms, wire houses—only a handful are good.” I think the firm...

Prudential 2001 Complete Broker Comments

Nov 26, 2001

A (Overall) “Our overall image needs improvement, we need more upscale advertising and better promotion. The firm really doesn’t emphasize its products and services enough.” B (Training) “It's terrific. I’ve been to...

Morgan Stanley 2001 Complete Broker Comments1

Nov 26, 2001

A (Hiring/recruiting) “It’s about average for the street. I don’t really get into that.” (Training) “There’s quite a bit of room for improvement.” (Overall) “The strength of this firm is in [its]...

New SEC Chief Has No Qualms About Sign-on Bonuses

Nov 12, 2001

Unlike former SEC Chairman Arthur Levitt, new SEC chief Harvey Pitt isn’t opposed to sign-on bonuses for retail brokers. In a press conference at the SIA’s annual gathering in Boca Raton, Fla. Friday morning, Pitt told RR that he...

Report From SIA’s Boca Bash

Nov 08, 2001

The Securities Industry Association’s annual bash is going on as planned, although the agenda was altered after Sept. 11. To no one’s surprise, the mood at the Boca Raton, Fla., convention is a bit more somber than in years past, with...

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Nov 06, 2001

Red Book Online places a wealth of information at your fingertips. With a few clicks of your mouse you can connect with a wide range of career resources specifically for financial services professionals. You'll find dozens of categories and...

Communication And Support For Clients In Turbulent Times

Nov 05, 2001

Communication And Support For Clients In Turbulent Times By Ted R. Ridlehuber Cannon Financial Institute, Athens, GA With the terroristse attacks on September 11, the resulting human tragedy in New York, Washington and Pennsylvania, and the...