In this section we present key findings and insights from our survey questions on practice management and operations, including services offered, the most time-consuming activities, professional designations, custody relationships and documentation trends.
We, the editors of Registered Rep. magazine, are officially opening our annual hunt for the best in the business. That’s right, we’re asking for nominations for the 2007 Outstanding Advisor Awards (formerly the Outstanding Broker...
Attention branch managers: Your job may have a lot more significance than that of your company’s CEO—at least when it comes to the reps you manage. That was the overwhelming result of an informal poll we took of Smith Barney advisors...
If you work in a wirehouse or regional brokerage, you may have attended a lot more going-away parties in 2006. Across the industry, there was a migration of financial advisors to the independent RIA channel
Merrill Lynch has announced that it will offer fat bonuses for increased production from either fees or commissions in 2007. But, only certain brokers are eligible
It's never been as trendy as it is right now or as crucial, many agree to take care of the environment. Indeed, more and more folks with funds want to invest in the future of the planet: A 2006 survey by the American Institute of Architects found...
On June 12, 2004, Miguel Garcia lost his job at Smith Barney. It brought an abrupt end to a stellar 10-year stint with the firm. The day was unusual from the very start, he recalls. Despite the market being closed for a national day of mourning in...
A good, independent lawyer can be a financial advisor's greatest partner and advocate before, during and after moving to a new firm. But most advisors take the plunge without one.
