Registered Rep. teams up with Fortune magazine to present a look at this year’s Top 50 wirehouse advisors, Top 50 independents, and Top 50 RIAs. Rankings based on assets under management. Read More
Considering selling all or part of your book? Buyers don’t seem to have a preference for a business model—whether you are an investment manager, say, or a financial planner; what they do care about are present and future revenue streams.
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The California Attorney General, Edmund “Jerry” Brown, is considering a request by 51 former IndyMac bank employees to investigate New York Democratic Senator Charles Schumer’s role in the collapse of IndyMac Bank.
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The editors of Registered Rep. are undertaking a comprehensive survey of sales assistants, and to complement our disclosure of the results, which will appear in our October issue, we would like to profile a number of outstanding SAs. But we need your help! We are counting on nominations of sales assistants from the financial advisors with whom they work to make our selection....
A federal judge gave final approval to a $33 million class-action settlement on Wednesday between Citigroup and current and former female financial advisors.
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It has been a cruel year for a lot of wirehouse advisors, with the sub-prime and ARS messes eroding client confidence in their firms. But times are good for registered investment adviser (RIA) firms. In fact, there is new evidence out there that RIAs may be taking clients from the wirehouses....
Socially responsible investing (SRI), however one defines it, has been getting serious traction from investors in recent years. But do you, or your clients, really know where those SRI dollars are going? It’s a question worth asking....
The sub-prime mortgage lending crisis and resulting market tumult isn't just taking its toll on investors: A nearly constant flow of bad economic news from the media is shaking up advisors, too. ...
Chicago: "My clients are scared. How do I change their perceptions of me? I know they still regard me as a stockbroker. I have been doing business with many of them for years, and get nervous just thinking about comprehensive wealth management", remarked Chuck at a recent conference....
Cleveland: "I've been through process training, practice management workshops and personal coaching," says Gerry. "Maybe it's me—but I'm not happy with the growth of my business."...
Many users of the popular tenant-in-common (TIC) investment vehicle in commercial real estate are hoping they have the stamina to withstand a double blow ...
Cannon’s Concepts For Professionals: A Complete Library of Essential Financial Concepts
This reference book was updated for 2008 and now contains over 900 pages of information on essential financial concepts and wealth management strategies for your work with wealthy clients. The book not only contains brief summaries of each topic, but it also contains many useful diagrams and charts that can be used with clients when explaining difficult financial concepts. The information in this book meets current FINRA/NASD guidelines....
