Registered Rep.: Best business move? Matthew MacMichael: Buying the company I worked for. It put me in the driver's seat to make sensible decisions for our corporate future. RR: The longest day you ever worked? MM: September 11th. I got in early...

Even smart investors make foolish choices. In their search for hot returns, mutual fund shareholders often buy near the market peak. Then after experiencing big losses, the same shareholders sell near the trough. One of the most notable examples...

Before you start a new b/d or RIA before you sign a lease or write a check you must consider the Dreaded Ds: Death, Disability, Disqualification and Divorce. Here are some important things to keep in mind. DEATH No one likes to contemplate his or...

Tampa: I feel that we're continually asked to cull the bottom of our book, says Sean. But what do you consider to be the ideal number of clients for a 21st Century financial advisor? Sean was honing into the heart of what has become an essential...

My client has money with me, refers clients to me, and quite frankly, is a great friend of mine. His wife has given me a million to invest for her. Only, she has kept this money separate from him; it was an inheritance from her mother. He keeps...

There are always a couple of snags when you're switching firms. Fortunately, most obstacles are not as intractable as they might seem. Here are a few cases where patience, negotiation and creativity paid off: Problem-Client Ownership: Brad, a...

Why have just one broker/dealer relationship when you can have three or four? Only one-third of affluent investors work with a single b/d, while 35 percent of investors are now working with two b/ds, and another 35 percent have relationships with...

Janney Montgomery Scott LLC hired Edward Walters as director of investments in the firm's wealth management division and David Mullan as director of performance reporting in the operations division. Walters joined from Ferris, Baker Watts, Inc....

Oscillation Productions is selling a CD called Playing the Market, a compilation of compositions based on patterns found in the stock market and other economic data. The album released in 2006 features 11 tracks, such as Long Bond Irrational...

Helping a client with estate planning usually means a discussion of trusts, life insurance, and various gifting strategies, which ostensibly will protect the client's family and finances in the decades after his death. Yet one related topic that...