Remember the bear market? Remember how ugly that was, in 2002 and 2003, when the securities industry was lopping off employees and in a general state of defense? We can’t either. The post-bubble good times just keep on getting better. The...
Most financial advisors don’t switch firms for better compensation or a big signing bonus. They’re more interested in finding places that will give them good support for their practices. A new report shows the highest paid reps aren&...
Chances are your clients' biggest retirement worry is a subject you know little about, and spend even less time addressing. According to a recent survey commissioned by Edward Jones, the number one fear adults have about retirement is not being...
Twenty-seven years after we first began bestowing Outstanding Broker Awards on a select group of reps, Registered Rep. has finally decided it's time for a change.
Parking Violation The NASD suspended a former Commerce Capital Markets broker for four months and fined him $5,000 for his involvement in a so-called parking scheme designed to inflate bond prices.
In an aggressive recruiting environment, with ridiculously high sign-on bonuses flying left and right, it's hard to keep financial advisors from getting the itch to defect.
There's nothing like a home-office visit to give you a flavor for the new firm you're considering and to help you decide whether it's the right place for you and your clients.
WHEN RAYMOND RIVAS first walked into the LPL offices, where he was being courted to join the firm, he was greeted by a handsome, well-dressed man about 15 years his junior.
UBS AG appointed Jeff Bischoff as head of Private Wealth Management Recruiting at UBS Wealth Management. Bischoff joins the firm from Smith Barney where he served as national recruiting officer and focused on the ultra-high-net-worth market.
