Who says financial advisors can't get down? About 50 advisors and their spouses were brave enough to cut a rug at Olympic Cauldron Park at the Raymond James Financial Services conference in Salt Lake City, although we're not sure we want to see...
SALT LAKE CITY Brokerage firm executives aren't generally known for their glowing adoration for regulators and their proposals, but Dick Averitt of Raymond James Financial Services had some particularly harsh words for the NASD. At the firm's...
Is a 61 percent decrease in profits from one year to the next a reversion to the mean or an ominous sign of cloudy skies ahead? This is a question the soggy middle of 2004 has raised for some reps. Profits for brokerage firms dropped 61.2 percent...
The NASD will be increasing its use of unsolicited phone calls to clients within the course of investigations into broker/dealer activities, an official from the agency said at a conference Tuesday.
Is a 61 percent decrease in profits from one year to the next a “reversion to the mean” or an ominous sign of cloudy skies ahead? It depends on whom you’re talking to.
If you are like most registered reps, your card probably says you are a financial advisor—and not a stockbroker. Indeed, whether you work at a large Wall Street brokerage or a small broker/dealer, the odds are you are holding yourself out as...
There's an old saw in business that says the success of a company depends not on size but on filling a void in the marketplace. A small 24-hour convenience store can't compete with Safeway or K-Mart, but then Safeway and K-mart can't compete with...
