Is your revenue production down? Not bringing in those million dollar accounts? Maybe your branch manager has threatened to move you to a more rural location, or garnish your wages a bit? Be thankful—at least he’s not asking you to...

Some 2,700 female Morgan Stanley advisors and trainees (oh, and their lawyers) just got $46 million richer. A federal judge approved settlement of the class action lawsuit six months after the women settled with the firm.

As the job of branch managers grows increasingly complex, brokerage firms are grappling with questions about how their managers should be compensated. At many firms, branch managers are no longer compensated on a commission basis, based on branch...

The first of this month marked the four-year anniversary of the publication of the Goldman Sachs report that popularized BRIC, the acronym for emerging markets Brazil, Russia, India and China. That report, entitled ``Dreaming With BRICs: The Path...

Smart decisions are based on more than government...

The industry is changing—and you’d better be prepared to change with it. That was Bob McCann’s message to attendees of SIFMA’s 30th annual Sales and Marketing conference in New York City this morning.

The financial advisory business has run into a major talent crunch. There just aren’t enough good people to fill the seats available, according to Moss Adams’ 2007 annual report on compensation and staffing in the advisory industry.

After speaking with scores and scores of licensed sales assistants, and the advisors they support in the wirehouse, independent and RIA channels, Registered Rep. has a pretty good idea of what would happen to advisors if their sales assistants...

In August, I wrote about a relative's rather negative experience in finding a financial advisor (see The Art Of The Deal, Registered Rep., August 2007). This relative, recently retired from the medical field, was disillusioned with the business...