Firms Can't Get No Satisfaction
May 11, 2012
Investors are not happier campers when it comes to their full service brokerage, according to the latest satisfaction study by J.D. Power and Associates. Overall investor satisfaction is statistically flat—not only when compared with last year...
Timothy Cusick: Hands Across the Border
May 03, 2012
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UBS Brokerage Breaks Profit Record
May 03, 2012
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LIable or Not?
LIable or Not?
Apr 30, 2012
A round-up of significant court rulings
Wells Fargo Wealth Management Business Posts Stagnant First Quarter
Apr 13, 2012
Wells Fargo’s wealth management business reported no growth in assets and a slight decline in advisors for the first quarter versus the same time period a year ago. Total client assets in the bank’s wealth, brokerage and retirement...
Wall Street's Secret Fiduciaries
Wall Street's Secret Fiduciaries
Apr 11, 2012
The fiduciary standard is one of those subjects that can spark heated conversation in a room full of financial advisors. It is a topic du jour at industry conferences and in offices across the wealth management industry; it is the theme underlying...
Wirehouses Minting Fiduciary Advisors – Or Are They?
Mar 16, 2012
In the past three years, Wall Street firms have ramped up fiduciary training for their financial advisors ahead of rules, and market trends, that may demand it. So why don’t they want you to know about it?
Direct Investment Sites Are Stealing Even More of Your Business
Mar 08, 2012
With better performance, lower costs, and real human beings on call to give advice, direct investment platforms’ managed accounts are winning more $1 million clients.
divorce split
Your Broker/Dealer May Be Headed for Divorce
Mar 04, 2012
When LPL Financial, a self-clearing independent broker/dealer, rolled Pacific Life's broker/dealers onto its self-clearing platform in 2009, many advisors protested. But for Jennifer Tanck, president of Independent Financial Partners, an LPL...
Swimming Upstream
Swimming Upstream
Jan 01, 2012
If you want to work with high-net-worth clients, the private banking divisions of the wirehouse firms are worth considering.
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