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Registered Rep.’s Broker Report Cards

Registered Rep.'s 2009 Broker Report Cards: Then There Were 5
This year's Registered Rep. Broker Report Cards show just how optimistic financial advisors can be. We don't need to remind anyone about the tremendous upheaval the popping of the credit/housing bubble created. And, yet, the marks FAs gave their firms were surprisingly solid — at least for all but Wells Fargo Advisors and UBS' Wealth Management Americas unit.

Registered Rep.'s 2008 Broker Report Cards: Dear Management, Thanks For Nothing.
At first glance, the results of this year's Annual Broker Report Card survey seem, well, charitable — very charitable. On average, reps gave the firms they work for a grade of 7.4 out of 10, which translates into a solid C. We find that curious. You'd think that the advisors at these eight firms would have awarded their employers a collective D or an outright F — as in Failure.

Registered Rep.'s 2007 Broker Report Cards
Business is looking good for reps: Over the last couple of years, they have become increasingly satisfied with their firms, on average. At least, that's what our Broker Report Card surveys indicate. The cumulative average for all firms we survey ticked higher again this year to 8.2, from 8.0 last year and 7.8 the year before.

Registered Rep.’s 2006 Broker Report Cards: Taking Care of No. 1
Don't take this the wrong way, but brokers — wirehouse reps in particular — tend to be a worried lot, regularly complaining about their firms even in the best of times. Indeed, they seem to be more prone to conspiracy theories than the general public. (Of course, we don't have any scientific proof, but anecdotal evidence suggests this; if you don't believe us, just visit the broker forums on our Web site.

Registered Rep.’s 2005 Broker Report Cards: The Year of the Turnaround
According to Chinese astrology, 2005 is the Year of the Wood Rooster—a year marked by prosperity, both spiritually and materially. Under this zodiac animal system, much of the world's population should have experienced a surge of optimism and adventurousness—in addition to prudent money management (seriously)—brought forth by the rooster, considered an honest, intelligent and brave bird.

A Case of Too Thin: Registered Rep.’s Annual Broker Report Card
As effective as cost-cutting can be, there comes a point in every business diet when there is no more fat to cut. Such is the case now in the brokerage industry.

Spare Us the Cutter: Registered Rep.’s Annual Broker Report Card
If you don't look too closely, you might think the securities industry is in a golden age. After all, the thing that matters most — profits — is up. Way up.

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