Photo Galleries
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April Showers: Dow's 5 Worst-Performing Stocks
The Dow eked out a tiny gain in April. Here's a look at the five stocks that did the most to hold back the group last month.
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April Powers: Dow's 5 Best-Performing Stocks
Through all the ups and downs last month, the Dow Jones Industrial average still managed to post a tiny gain – 1.59 points, or 0.01% -- for the month. Here’s a look at the five best-performing Dow component stocks in April.
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5 Up and 5 Down: The Pros and Cons of Financial Reform
At a financial forum organized by Paris Europlace, Citigroup Vice Chairman Lewis B. Kaden gave his view of five positive contributions from reform proposals under development in the U.S. and in Europe and his take on five areas that will require "a great deal of future study." Here they are.
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5 Best-Performing Growth Mutual Funds This Year
Here’s an interactive slide show featuring the five best-performing growth mutual funds so far this year.
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5 Worst-Performing Dow Stocks in Q1
By any measure, the first quarter of 2012 was a very good one for investors. But for some Dow component stocks, the first three months of the year were forgettable. Here’s an interactive slide show featuring the 5 worst-performing Dow stocks so far this year.
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5 Best-Performing Dow Stocks in Q1
By any measure, the first quarter of 2012 was a very good one for investors. Here’s an interactive slide show featuring the 5 best-performing Dow stocks so far this year.
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Gift Tax Exceptions Every Advisor Should Know
Not every gift is a taxable gift, according to the IRS. If you gave money or property to someone as a gift, the following gifts are not taxable gifts:
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Getting Social: The ROI
Here's how advisors, brokers and firms can measure their return on investment in social media.
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Getting Social: The Recipe
Here is a succinct list of ingredients for advisors and brokers who want to get seriously involved in social media.
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Getting Social: The Rules
If you’re getting serious about social media, here’s the regulatory landscape, as of March 2012.
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5 Worst-Performing Dow Stocks in February
Here’s an interactive slide show highlighting the 5 worst-performing Dow component stocks for February 2012.
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5 Best-Performing Dow Stocks in February
Here’s an interactive slide show highlighting the 5 best-performing Dow component stocks for February 2012.
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Defining Dodd-Frank: A Glossary of Acronyms
Here are acronyms you will need to keep track of as clearing of what can be considered exchange-traded swaps starts up.
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January Defect: 5 Worst-Performing Dow Stocks
They call it the “January Effect.”
Whether it’s the by-product of those Wall Street guys reinvesting their year-end bonuses or individual investors jumping back into the market after selling for year-end tax reasons, the Dow Jones Industrial Average historically gets a nice little (and sometimes huge) bump during the first month of the year.
This January was no exception.
The Dow rallied up 415.35 points, or 3.4%, in January – the best January percentage gain since 1997.
But for some stocks, the year didn’t get off to a very auspicious start. Fortunately, there’s still plenty of time left this year to rebound.
Here’s an interactive slide show highlighting the 5 worst-performing Dow component stocks for January 2012:
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January Effect: 5 Best-Performing Dow Stocks
They call it the “January Effect.”
Whether it’s the byproduct of those Wall Street guys reinvesting their legendary year-end bonuses or individual investors jumping back into the market after selling for year-end tax reasons, the Dow Jones Industrial Average historically gets a nice little (and sometimes huge) bump during the first month of the year.
This January was no exception.
The Dow rallied up 415.35 points, or 3.4%, this January – the best January percentage gain since 1997.
Here’s an interactive slide show highlighting the 5 best-performing Dow component stocks for January 2012:
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10 Elections Wall Street Will Be Watching in 2012
University of Chicago Professor Emeritus Marvin Zonis that several nations representing more than half of the world's GDP by purchasing power parity (PPP) per capita could see a change atop their governments this year. This potentially massive shift in geo-political leadership will almost certainly impact economies and investments around the globe.
Here’s an interactive slide show featuring 10 countries and elections that Wall Street needs to be paying attention to this year:
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Recruiters React to Raymond James - Morgan Keegan Deal
Recruiters agree that Raymond James and Morgan Keegan are a cultural fit, but how Morgan Keegan's financial advisors react to those retention bonuses will be key to whether they stay.
Here's an interactive slide show detailing their thoughts on the deal.
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Top 10 Corporate Actions: The Persistence of Complexity
The number and complexity of corporate events persist, even three years after the 2008 financial crisis. Here's a rundown, from Wolters Kluwers Financial Services.
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BACKWARDATION & CONTANGO: The ETFs Glossary
Exchange-traded funds are like stocks. And mutual funds. Except they're not. Here's a glossary on how ETFs really operate.
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9 Ways Market Structure Will Change
Here’s what Investment Technology Group thinks will happen in the coming year, with modest re-interpretation.
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Tech Spending on Wall Street in 2012: Is the Bull Back?
Spending on hardware, software and communications all is expected to grow by more than 5% this year, in the latest Gartner forecasts.
Is this the year that not just trading firms, but companies of all stripes get bullish on technology spending, again?
Here's a snapshot look at the consulting firm's prognostication.
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12 Predictions for 2012
You never know what to expect. But events of 2011 gave plenty of clues for what lies ahead in 2012, as trading firms and exchanges speed up and beef up.
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10 Worst-Performing Dow Stocks of 2011
2011 wasn't the greatest of years for some of the world's most iconic companies, particularly for tech stocks such as Cisco Systems and HP that have delivered massive returns to investors for years.
However, comparing these select 30 stocks’ performance against one another over a one-year period is hardly a comprehensive or “fair” method to evaluate each company’s long- or short-term prospects.
For the year, the Dow is up just over 6%.
They say success has a million fathers but failure is an orphan. Here’s hoping you or your clients were holding a large position in these Dow stocks this year.
Also see: The 10 Best-Performing Dow Stocks of 2011
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10 Best-Performing Dow Component Stocks of 2011
Only 30 stocks comprise the world’s most closely watched index – the Dow Jones Industrial Average – and its daily, weekly, monthly and annual gains (or losses) serve as a very handy – albeit simplistic – snapshot of investor sentiment and a decent barometer of how the U.S. and world economy is fairing.
Of course, comparing these select 30 stocks’ performance against one another over a one-year period is hardly a comprehensive or “fair” method to evaluate each company’s long- or short-term prospects. There are far too many factors – good and bad – that influence any stock’s performance over a 52-week period. And to merely be a member of this exclusive group probably means the company is doing – or has been doing – something right for quite some time.
Saying that, everybody loves a winner and if you or your clients held any of these top-performing Dow component stocks in their portfolios this year, there’s a pretty good chance they did quite well for themselves in 2011.
For the year, the Dow is up just over 6%.
Here’s an interactive slideshow featuring the 10 Best-Performing Dow component stocks of 2011:
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13 Gifts That Could Get You In Big Trouble With FINRA
Here are a dozen gifts (plus one) which could ruin your holiday spirit -- and pocketbook -- if FINRA decides you have crossed the line. And been too generous.
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Will, May or Won't: UBS Predicts 15 Events (Or Non-Events) of 2012
UBS zeroes in on five events that will happen in the upcoming year, five that may and five that won’t.
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12 Days of Christmas: A Wealth Management Wish List for 2012
With the holidays fast approaching, Deutsche Bank Wealth Management has come up with a holiday wish list for its "true love,” the financial markets. For the most part, the Deutsche Bank crew doesn’t believe they’re dreaming and predicts most of these wishes will come true 2012. Do you?
Here’s an interactive slideshow counting down the 12 wishes they and most wealth managers are hoping for in the New Year.
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2011 Top 5 Regional Advisors Under 40
On Wall Street identified the most prolific asset managers under 40, and these five came out on top for the regional firms.
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2011 Top 40 Financial Advisors Under 40: No. 20 through 1
Most of our Top 40 this year appear to be chasing the ultimate client: the ultra-high-net-worth account. And so many of them are getting those customers. It's hard work, it's expertise, it's listening to client needs. It's all of those things.
Meet the best and the brightest who rake in billions in client assets.
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2011 Top 40 Financial Advisors Under 40: No. 40 through 21
Most of our Top 40 this year appear to be chasing the ultimate client: the ultra-high-net-worth account. And so many of them are getting those customers. It's hard work, it's expertise, it's listening to client needs. It's all of those things.
Meet the best and the brightest who rake in billions in client assets.
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5 Business Imperatives for Successful Wealth Management Firms
Asset management firms recorded average profitability of 28% through 2010 and the first half of 2011, according to a new McKinsey report, and independent asset managers will control two-thirds of all assets under management by 2015.
Here are five business imperatives successful wealth management firms will need to heed over the next three years:
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Giving Thanks on Wall Street: Some Statistics That Provide Holiday Cheer
Yes, the European debt crisis and the U.S. deficit crisis persist. Yes, the markets for asset-backed securities, corporate bonds and initial public offerings are depressed. Yes, the Joint Committee on Deficit Reduction has disbanded. But there’s still much to be thankful for, on Wall Street. Whether you’ve been pre-Occupied in the last two months (or two years) or not.
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Getting Ready for Regulation: The System Impact
The waves of financial regulations that are being introduced around the world "represent some of the biggest changes in financial services in 70 years." Here's what's changed and what you and your firm can do now to meet these new regulatory requirements.
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Top 5 Investor Traps for 2011
Advisors and their investor clients should be on the lookout for these popular scams. According to the North American Securities Administrators Association, here are five of the most common scams that advisors and their clients either managed to avoid or fell victim to this year.
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Seven Books for Every Advisors' Summer Reading List
With Memorial Day Weekend approaching, check out some must-reads (and why your fellow advisors are recommending them.)
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Looking Back: On Wall Street's 20 Years in Covers
On Wall Street Magazine is celebrating its 20th anniversary. Take a look at how the magazine has evolved over the past two decades.
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Five Ways To Capitalize On The New Estate Laws For 2011
According to Brian Ullmann, a financial consultant at Fresno, Calif.-based Ford Financial Group, new changes in estate planning and tax laws in 2011 will give investors and their families more options and flexibility to move around and share large sums of cash without incurring -- or saddling heirs -- with a stiff bill. Check out five essential things to consider that could help your clients as they consider the new regulations.
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Who Are Wall Street’s Top Operational Executives?
Who Are Wall Street’s Top Operational Executives?
No trade settles and no payment gets made without this critical behind-the-scenes talent. Usually, you only hear about them, when things go wrong. But they make their organizations tick. Here are profiles of eight of the best.
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Who Are the Industry's Top Branch Managers
They are problem-solvers. They are cheerleaders. And they roll up their sleeves to work alongside their advisors these Top 10 Branch Managers for 2010.
Check out On Wall Street's and MainStay Investment's/New York Life's 4th Annual Branch Managers of the Year Awards
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Who Are the Industry's Top Branch Mangers
They are problem-solvers. They are cheerleaders. And they roll up their sleeves to work alongside their advisors these Top 10 Branch Managers for 2010.
Check out On Wall Street's and MainStay Investment's/New York Life's 4th Annual Branch Managers of the Year Awards
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Snapshots from the 2011 Peak Advisor Alliance Excell Meeting
Over 400 independent advisors met in Chandler, Ariz., to discuss strategies to expand their business. Check out a variety of images from the four-day event.
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Snapshots from the 2011 Peak Advisor Alliance Excell Meeting
Over 400 independent advisors met in Chandler, Ariz., to discuss strategies to expand their business. Check out a variety of images from the four-day event.
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A Closer Look: The Top 20 Bank Program Managers
While we spend most of the year covering the advisors, we set aside the May issue of Bank Investment Consultant to celebrate their bosses. Check out our list of the top 20 and find out what puts the top managers on top.
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Repercussions and Lessons: Examining the Flash Crash a Year Later
A year ago, the Dow Jones Industrial Average plunged 998 points almost out of nowhere in the middle of a seemingly normal May afternoon. Here’s what the market looked like going into that day, and what the industry has done to make sure it doesn't happen again.
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Eight Questions for Developing Your Marketing Plan
Financial advisors usually decide to develop or revisit their marketing plan because revenue growth has not met their expectations. According to Kirk Hulett, a senior vice president of strategy and practice management for Securities America, often they look at marketing tactics, such as advertising and public relations, long before they consider the cause of the problem.
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5 Mistakes Advisors Make in Their Marketing
Advisors can choose from a variety of marketing approaches, from drip direct mail to syndicated radio, but finding what works can be a long, frustrating and expensive search. Kirk Hulett of Securities America identified five common mistakes that advisors make in their marketing. Addressing these before they happen can help ensure you get the most from your marketing budget.
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Seven Tips to Help Your Clients Negotiate with the IRS
With the federal tax deadline upon us, what can your clients do when they find themselves at odds with the IRS? Don't despair. The IRS has set up a channels for people to pay what they can, when they can. Your clients can improve their chances of getting a better deal for themselves by following some simple tips.
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Mobile Apps 101: 10 Must-Have Applications for Every Advisor
Financial advisors may have initially been slow to embrace mobile apps, but a flurry of new applications are making it easier than ever for money managers to help themselves (and their clients) from any mobile device. Here's a look at 10 must-have mobile apps for financial advisors in 2011.
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Tax Planning at the Midnight Hour: 7 Tips to Help Your Clients Beat the Deadline
With the April 18 tax filing deadline fast approaching, Grant Thornton wants to assure American taxpayers that there’s no need to panic. Check out seven last-minute tax tips for your clients that may be procrastinating.
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Execution Time: The Ten Steps in a Trade
Trading is the heartbeat of the financial planning industry. All told, sell-side firms will spend $14 billion this year to speed up how fast they can execute orders, according to Tabb Group. At stake: Millions of dollars in trading profits, on an annual basis. Per millisecond. Check out a step-by-step look at what goes into high-performance execution of a trade, in every fraction of a second.
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Nine Simple Steps to Avoiding a CFP Rule Violation
Tired of the admonitions, suspensions, and fines? Check out some simple tips to avoid getting red flagged by the CFP Board
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Is Advisor Compensation Surging?
Advisors in general are back in the pink, making more money, gathering more assets under management and generally feeling upbeat about their prospects.
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What Can Advisors Do If Their Clients Safety Nets Are Ripping?
"Between the rising costs of healthcare and the unpredictability of the market, financial planning for retirement is now more important than ever," says Scott Loochtan of Retirement Planning Group. What can planners do to help their clients prepare.
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Power Givers: Philanthropic Women Helping Women
With 61% of wealth now in the hands of women, and the majority of the world’s poor being women, it makes sense that wealthy women are giving powerfully. Some of the women on our list are big names, while others are rising stars.
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Financial Fumbles: How the Economic Crisis Sacked 10 Pro Athletes
From Hall of Famers to Super Bowl champions, here’s a look at ten current and former professional athletes and how their wallets were impacted by the financial turmoil of the past five years.
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Eight Long-Term Care Traps
If your clients are considering long-term-care insurance, you might want to steer them clear of the following typical mistakes.
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101 Client and Referral Event Ideas
If your client and referral events seem a little stale, freshen them up with these creative ideas for activities, themes and locations.
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What Are the Ten Best Tax Prep Software for Advisors?
Tax time is fast approaching; April 15 is less than 6 weeks away, and the IRS waits for no one. You can fork out a few hundred dollars to your tax accountant, or you can try it yourself with tax software and save big dollars.
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Don't Friend Your Enemies: The Insecurity of Social Media
Financial firms are still trying to develop coherent social media strategies. But don’t race into it: the risks are not well understood.
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Snapshots from the 2011 BISA Conference
For three days, 650 bank investment advisors assembled in Hollywood, Fla., for insights and ideas on the industry. Check out some of the images in this photo gallery.
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Top 10 Books to Motivate Your Team
Searching for a little inspiration? Maybe something to push your team a little harder? Check out the list created by Impact Books.
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10 Ways for Advisors to Use UMAs to Build a Stronger Business
Advisors face two major challenges in today’s environment: intense competition for client assets and pressures on profitability. Kelly Coughlin of GlobalBridge says unified managed accounts have evolved to provide a solution to both challenges at once. But how can advisors use these products to grow their business?
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What Are the Five Top Fines Brokers Face?
According to a study of FINRA enforcement actions, brokers collectively paid 1,310 fines valued at $45 million in 2010, or roughly $35,000 a fine. But what activities should advisors avoid to avert the wrath of regulators?
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Six Cautions About Roth IRA Conversion
With tax season upon us, most advisors are looking for ways to help clients maximize their tax savings. But with some converting to Roth IRAs, the folks at Allianz offered some cautions to help navigate rocky conditions.
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Retirement Crisis Checklist
Americans held $15.6 trillion in retirement assets at the end of the third quarter of 2009, according to the ICI, but as we emerge from the Great Recession, advisors and investors want to know what they need to do to retain and grow assets from here. UCLA's Shlomo Benartzi provided some insights.
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Top 10 Activities of Million-Dollar Producers
A study of million-dollar producers conducted by Peak Advisor Alliance indicated that 10 key activities accounted for approximately 75% of their average week. Check out the countdown!
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5 Questions Brokers Face From SEC Audits
Broker-dealers had better be prepared to handle some tough questions on their procedures and controls to mitigate risk and can no longer pass the burdens of meeting SEC requirements to junior managers.
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An Advisor’s Photo Essay from the T3 Conference
For three days, almost 500 advisors and 75 exhibitors came to Weston, Fla., for the T3 Conference. Mike Byrnes of Byrnes Consulting sent some images highlighting the event (including looks at his favorite talks, one booth’s crazy attire and the best evening party.)
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10 Ways for Advisors to Use Email Marketing More Effectively
A recent study indicates that 49% of consumers share content online at least once a week, with 86% being shared through email. Email sharing even beat out Facebook (49%) and Twitter (4%). By marketing your content via email, you tap into a great opportunity to create valuable content that your recipients will want to share. Our new technology blogger, T.J. Gilsenan examine how.
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Seven Tips for New Advisors
The financial services industry can be a great career choice but unfortunately, a lot of new advisors never make it past the first couple of years. And as anyone who’s been in the business just a few years can tell you, getting past the licensing requirements is the easy part. Advisor Keith Weber offers seven to help new advisors to turn a job into a career.
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11 Ways Brokers Need to Protect Themselves from FINRA
The Financial Industry Regulatory Agency will begin formally examining the operations of broker-dealers this year. Here are 11 holes to plug, based on a FINRA letter to chief compliance officers on Feb. 8.
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Snapshots from the TD Ameritrade Conference
Advisors braved bad weather to attend TD Ameritrade Institutional Conference in San Diego. Check out some images from different folks that attended the event.
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An Advisor’s Photo Essay: TD Ameritrade Institutional Conference
For three days, advisors descended on San Diego for the TD Ameritrade Institutional Conference. Mike Byrnes of Byrnes Consulting sent some images highlighting the event. (Including looks at his favorite talks, speakers, and even the best booths.)
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11 Essential Tech Tools for Financial Advisors
Technology can set advisors apart and lack of technology can put them behind the eight ball. We chatted with independent RIA Tad Borek to get his thoughts on what tools are essential for 2011. (Surprisingly, his list did not include the iPad.)
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12 Fundamentals to Better Marketing
Financial advisors want to know the most important key to becoming a top producer. Most think the answer must be a magical new product, an innovative new sales idea or a remarkable new marketing strategy. However, their jaws drop when they learn the truth - its all about marketing.
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SEC vs. Brokers: Keeping Score
If there is a spread in how closely brokers are watched by regulators, it is widening. The SEC, by its own, count is examining far fewer brokers' operations than just two years ago. Here are the numbers, that show the cost of complexity in bringing cases against broker-dealers.
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Seven Bullish Trends for 2011
The outlook for investors in 2011 is as positive as we have seen in years, according to Joseph R. Dancy, an adjunct professor of law at Southern Methodist University and manager of the LSGI Venture Fund L.P. The demand for crude oil and coal are well above anticipated levels due to robust global economic growth food prices are expected to continue to rise due to adverse weather patterns, ethanol production, and disappointing crop yields.
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Seven Critical Habits for Profit-Oriented Advisors
James Carney, president and chief executive officer of ByAllAccounts, says profitable and effective practices are changing their priorities and being more progressive in their thinking this year. He laid out seven habits that will help firms regain profitability.
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Who Are Wall Street's Richest Executives?
According to Wealth-X, the top executives at the ten biggest banks and asset managers on Wall Street have an average net worth of $210 million. Their combined net worth is at least $2.1 billion. Check out the top ten
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7 Deadly Sins That Hurt Performance for Advisors
Almost every advisor is committing one or more of the seven deadly sins. This is not a reason to beat yourself up, but an opportunity to improve your effectiveness.
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Eleven Market-Shaking Events for 2011
Each year, Janney Capital Markets produces a list of events it deems reasonably likely could shake the markets. Check out the surprises Janney expects could make for a bumpy ride in 2011.
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Six Things That Could Go Right (Or Wrong) in 2011
BlackRock’s Bob Doll announced some pretty bullish predictions for the year ahead. But what are the potential upside and downside risks for 2011? Understanding these risks could make or break this year.
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Financial Planning's Top 10 Stories of 2010
The year of the Flash Crash, debt crises in developed economies and regulatory reform gave financial planners plenty to discuss with their clients. The magazine looked behind these headlines and others to give industry professionals leading-edge insights into how their profession would cope and thrive.
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Preview: The 2011 On Wall Street Recruiters' Roundtable
You probably don't often get a chance to sit down and talk to a roomful of recruiters. Fortunately, we did it for you. We recently spoke with the headhunters above about the job market for financial advisors. We discussed the big stories: The state of recruiting, acquisitions, corporate culture, branch managers, the size of deals in coming years, and more. Check out our January issue for the full story, and enjoy some of the intriguing quotes from our roundtable.
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Where the Wealthy Live: The Top 11 States for 2011
If wealth advisors knew where the largest number of ultra-high-net-worth individuals were concentrated, they could target them better. Which is why the intelligence firm Wealth-X ranked the states with the most wealthy individuals.
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Reexaming the Top 40 Advisors Under 40
In On Wall Street's fourth annual ranking, the young hotshots of The Street talk clients and strategy. Here's how this year's top 40 advisors under 40 stack up.
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10 Must-Read Books for Advisors
Looking for a stocking stuffer for your favorite financial planner? Check out the 10 best-selling books for advisors from Amazon.com.
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A Closer Look at the Top 50 Bank Reps
Bank Investment Consultant magazine honored the industry's best bank-based financial advisors for 2010. We'll take a closer look at what makes them so great.
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10 Top CIOs on Wall Street
Collapsing margins – but serving customers better. Integrating complex platforms – then setting up standard-setting data centers, out of fresh cloth. Here’s how 10 top CIOs became the best on Wall Street.
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What Are the Industry's Top Mutual Funds?
S&P Equity Research, a division of the New York-based credit rating agency, identified 29 funds that achieved the highest overall five-star quantitative ranking in each of their respective categories, and gave them gold, silver and bronze placements.
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Snapshots from the Schwab IMPACT Conference
For four days, advisors descended on Boston for insights on practice management, regulatory changes to help improve their business.
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Top 10 Fund Websites for Advisors
Kasina ranked the best mutual fund websites for advisors. The 12th annual survey is based on 156 different factors, including content, functionality and user experience, putting 42 advisor-facing websites through their paces. The following is a countdown of the top sites.
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BIC's Top 20 Program Managers Awards
Bank Investment Consultant Magazine's Top 20 Program Managers Awards honored program managers who bring out the best in their advisors. At a dinner sponsored by New York Life/Mainstay Investments in New York last week, the awards program celebrated managers whose advisors perform well above industry benchmarks.
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2010 Morningstar Investment Conference
For three days in late June, advisors, industry executives and fund managers descended on Chicago for the 2010 Morningstar Investment Conference. The audience received insight on the flash crash, international investing and the impact of the oil spill in the Gulf of Mexico. Industry bigwigs, including Vanguard's William McNabb, were among the speakers. See photos here and here.
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Women Advisors Forum – Chicago
SourceMedia's Women Advisors Forum descended on Chicago last week. The event offered an opportunity to network with the most successful and influential women financial advisors in the nation, while gaining insight into their career experience and rise to the top.
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