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Registered Rep.
January 15, 2013
Alan Lavine |
Solving the Riddle of the Immediate Annuity Clients torn between leaving money to heirs or buying an immediate annuity? Here's how to help them decide.   |
Registered Rep.
January 2, 2013
Megan Leonhardt |
The Oldest Working Female Advisor Tells All Over half a century (and counting) working as a financial advisor, Laura Baron, 93, has seen the industry transformed. But, she says, it's still a man's world. |
Registered Rep.
January 2, 2013
Mindy Diamond |
Advisor Marriages Gone Bad While arranged marriages make good sense for the firms for the senior advisor, they're not always in the best interest of the rookie advisor. |
Registered Rep.
January 2, 2013
Megan Leonhardt |
60 Seconds with Harvey Pitt Harvey Pitt gives his opinion about new members of Congress and new Securities and Exchange Commissioner Elisse Walter. |
Registered Rep.
January 2, 2013
Megan Leonhardt |
Blotter: January 2013 FINRA slapped a Pennsylvania advisor with a complaint in December after he allegedly forged client signatures to funnel client assets from one account to another, culminating in personal withdrawals of over $250,000. |
Registered Rep.
January 2, 2013
David Geracioti |
Cold Call: Scott Mahoney Scott Mahoney of Morgan Stanley, Morristown, N.J., with $250 million AUM, says choose clients who share your values and appreciate the knowledge and resources you bring to the relationship. |
Registered Rep.
January 2, 2013
Diana Britton |
Comings & Goings: January 2013 Independent broker/dealer LPL Financial has tapped Victor Fetter as its new chief information officer... The Financial Services Institute has elected three new directors to its board for 2013... Three officials from the Securities and Exchange Commission announced plans to leave... |
Registered Rep.
December 26, 2012
Diana Britton |
Not Your Momma's Financial Advisor Some financial advisors are "tricking" out their offices and dressing down to attract Gen X and Y investors. But you've got to change more than just your look to attract the new generation of clients. The young'uns demand lower fees, no minimums, and a more tech-centered financial experience. |
Registered Rep.
December 25, 2012
Lauren Barack |
Playing The Digital Dating Game A client's onboarding experience can affect how wiling they are to make referrals, and the faster a rep can sign one client, the quicker they can find more. New digital onboarding tools can help. |
Registered Rep.
December 25, 2012
Matt Oechsli |
Getting Out of the Veteran Slump Many veteran advisors are stuck in the past. But here are some ways to get out of the slump and start building out a real twenty first century financial practice. |
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