JANUARY
Pg. No.
57 CPAs Are Here • Accountants are a growing force in brokerage.
64 Unlikely Clients • Generation Xers are ready to do investment planning.
75 Broker Lite • Service offerings that lie between discount and full service.
80 Flat Champagne • How new millennium marketing fizzled out.
87 The Vanishing Partnership • Firms organized as partnerships are fading fast.
FEBRUARY
53 Conquering “Performance” Anxiety • Improved performance reports manage client expectations.
59 Repricing Brokerage • 2000’s compensation changes at the major firms.
66 Jazzy Tech Tools • A review of new technology and Internet tools.
79 Down the Corporate Ladder • Branch managers who went back into production.
83 Focus Series: Tax Planning • A supplement on the topic of taxation.
99 Test of Time • Brokers with long tenures at one firm.
MARCH
59 Bursting Onto the Field • Strategies of banks and insurers in retail brokerage.
68 Offices Within Offices • How brokers design personalized, functional workspaces.
74 Cooling Expectations • Strategies for keeping clients on an even keel.
85 Family Limited Partnerships • Family limited partnerships are popular but complicated.
91 Marketing for Brokers 101 • Sharpen your business and marketing plans.
APRIL
61 Detecting Demand • Demographic trends that create opportunities in brokerage.
68 Listen to the Boom • Harry Dent Jr. talks about the economic boom.
72 Know Your Options • Helping clients understand incentive stock options.
84 Seven Super Sales Ideas • Mutual fund wholesalers provide sales ideas.
95 Focus Series: Financial Planning • Coordinating financial plans and getting paid for planning.
MAY
57 The Emerging Investor • Wall Street has its eye on younger clients.
65 A Day in the Life of a Team • How a successful team functions, individually and together.
74 Outstanding Broker Awards • RR honors 10 of the industry’s finest reps.
101 What’s Appropriate Apparel? • Styles range from corporate to casual, but brokers still favor suits.
111 Have SIPC Protectors Run Amok? • Critics discuss the Securities Investor Protection Corp.
JUNE
53 Balancing Brokers and a Book • Exploring the conflicts of producing managers.
57 The After Life • How reps can help sort out the estate after a client dies.
60 Plugged In • Profiles of tech-savvy reps.
69 Clients and the Internet • How some reps handle cyberclients.
77 You’ve Got Mail • An update of firm e-mail capabilities.
87 ‘Ware It’s At • RR’s annual software guide.
118 Best of the Class • Rules for picking the best fund share class for a client.
JULY
56 Caught in the Middle • How clients are shackled by temporary restraining orders.
69 Tied Tight • A proposed NASD rule makes it easier for firms to sue defecting brokers.
79 Advancing Advisories • Assets controlled by RIAs continue to grow.
86 A New Arena • Profiles of five former pro athletes turned brokers.
AUGUST
63 Going Independent—Is It In You? • How brokers set up their own shops.
68 Industry Issues • Learn about the challenges faced by independent firms.
70 Inquiring Minds • 22 pointers on researching an independent broker/dealer.
74 Movin’ On Up • Reps who climbed to the next level.
83 Getting It Wrong • Erroneous things clients think and correcting them.
89 Playing Money Mediator • Clients can be happily married and still disagree about investments.
SEPTEMBER
61 Diary of a Fee Transition • How a broker moved clients from commissions to fees.
69 Data Sweepers • Sites that consolidate financial information online.
79 Million-Dollar Producers • Four top producers tell how they built their businesses.
95 Business and Pleasure • Brokers and clients who travel together.
103 Fine Investing • Private deals and alternative investments are rare even among the wealthy.
107 It’s Show Time! • Methods for presenting client-capturing seminars.
135 Regulatory Debates • Washington regulators debate who gives “advice.”
143 Focus Series: Education Funding • Helping clients fund children’s college education.
161 Condemning Commissions • Author Alfie Kohn criticizes pay-for-performance systems.
OCTOBER
53 The Troubleshooters • How broker coaches help reps find and fix trouble.
62 Pivotal Players • Sales assistants are taking on new roles in broker teams.
73 Watching the Clock • Sales assistants may be due overtime pay.
79 Portrait of a Sales Assistant • RR’s exclusive survey of sales assistants.
87 Wish List • What sales assistants want from brokers and firms.
89 Outstanding Sales Assistant Awards • RR honors five sales assistants.
103 Skid-Proofing • Lawyers describe five stumbling blocks for brokers.
113 Disrespecting Our Elders • Warning signs of elder financial abuse.
RETIREMENT PLANNING SUPPLEMENT
17 Ins and Outs of IRA Distributions • The lowdown on basic distribution rules.
25 Retirement Planning Roundtable • Key issues reps face in handling retirement funds.
34 25 Secrets to Land Retirement Plans • Tips to prospect, sell and close plans.
NOVEMBER
59 Easy as Pie • How advisers simplify asset allocation concepts.
67 Family Business • Brokers partnered with family members.
89 Price Fighting • Reps have avoided severe pricing pressures thus far.
93 Concentrated Accounts • The debate on concentrated investments.
98 8 Insurance Ideas • Important considerations in selling insurance.
105 Your World • RR’s survey of broker experience, accounts, pay.
DECEMBER
55 Seminars Big and Small • Finding a seminar approach that suits your personality.
60 Corporate Angels • Brokers band together to help needy people.
66 Your True Feelings • Reps offer heartfelt opinions in the annual Brokerage Report Card survey.
89 The Compliance Bind • How compliance departments prevent communication with clients.
95 Caring About Elder Care • Preparing financially for long-term care.
101 Going It Alone • Two reps who purposely shun broker partnerships.
105 The 4-60 Rule • How the bottom of your book can drag you down.
