Bank & Financial

Magazine articles on banks, brokerages, and credit card companies.

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Registered Rep. June 14, 2012 Mindy Diamond	Broker Protocol Booming As firm-switching among brokers rose to record levels over the past four years, the number of signatories exploded, growing almost 40 fold. Many of the new signatories are RIAs.
Registered Rep. June 13, 2012 Matt Oechsli	Prospect Facetime: Five Affluent Faux Pas To Avoid Don't be afraid to sell, but mind these pitfalls.
Registered Rep. June 12, 2012 Kristen French	The Online Advice Revolution While the machine may never completely replace the flesh-and-blood financial advisor, it will force you to narrow your focus and lower your fees.
Registered Rep. June 5, 2012 Diana Britton	A Regional Resurgence After years of being considered acquisition targets, regional broker/dealers may be making a comeback.
Financial Planning July 1, 2012 Ann Marsh	Think Small to Land Big Advising clients about their small businesses is not for the control freak, the timid or the egocentric. But for planners who venture into this terrain, working with entrepreneurs may provide some of the most satisfying experiences - financially and emotionally - of their careers.
Financial Planning July 1, 2012 Glenn G. Kautt	Succession Plan Success I told you in my May column that my firm was readying for a transition. Soon after I finished writing, the deal was done. Here's how it happened and what it could mean for a firm like yours.
Financial Planning July 1, 2012 Bob Veres	Gaps of Logic FINRA has been an effective bludgeon against the small independent B-D world, creating paperwork requirements whose costs are best amortized over larger hordes of retail advisors.
Financial Planning July 1, 2012 John J. Bowen, Jr.	From Hunter to Farmer Hunting for new investors every day doesn't work well anymore, certainly not with highly desirable affluent prospects. Now, people don't want to be beaten over the head or be sold to.
Financial Planning July 1, 2012 Allan S. Roth	Beyond the Stars Morningstar's new forward-looking rating scale for mutual funds is sure to have a significant impact on the research done by financial advisors.
Financial Planning July 1, 2012 Joel Bruckenstein	Tech Tools: Targeting Wage Earners Wouldn't it be nice if there were a technology that could provide meaningful retirement income solutions to those of more modest means? Imagine if advisors could profitably cater to the mass market. RIO may allow advisors to do just that.
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