Published Articles

Voices Compensation is just part of the decision to go independent

Voices Compensation is just part of the decision to go independent

SuperUser Account posted on April 05, 2017

There are more than 300,000 financial advisers in the U.S. and approximately half of them now call the independent model home. There are certainly man...
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Fiduciary: major change but no benefit, says expert

Fiduciary: major change but no benefit, says expert

SuperUser Account posted on March 01, 2017

We recently sat down with career consultant Rick Rummage, one of our long-time contributors, to talk about the fiduciary rule. He told us what he’s he...
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10 tips to becoming a rising star

10 tips to becoming a rising star

SuperUser Account posted on February 01, 2017

There is an old saying I like, and use often with my consultants here at the Rummage Group.“Successful people do what unsuccessful people are not will...
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Most bank advisers have to carve out their own retirement plan

Most bank advisers have to carve out their own retirement plan

SuperUser Account posted on January 04, 2017

Bob is a 65-year-old adviser at Random American Bank. He has worked hard to build a $150 million book throwing off $1.5 million in revenue. Over the l...
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Why time management is the key to growth

Why time management is the key to growth

SuperUser Account posted on November 04, 2016

Running a wealth management firm can be a little like running across a battlefield.Those in charge have things coming at them from all directions. Bec...
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Why Is It So Hard to Retire from My Bank?

Why Is It So Hard to Retire from My Bank?

SuperUser Account posted on April 06, 2016

Financial services firms slowly started implementing succession plans (or sunset agreements) about a decade ago. It started with the wirehouses, but s...
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Why Some Banks Are Pushing Away Their Top Advisors

Why Some Banks Are Pushing Away Their Top Advisors

SuperUser Account posted on March 02, 2016

Some banks have been changing the way they compensate their advisors. Instead of paying commissions on production, they have been moving towards a sal...
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Commentary: How to Increase Your Business In 2016

Commentary: How to Increase Your Business In 2016

SuperUser Account posted on January 13, 2016

I'm always surprised when people don’t plan important aspects of their lives. It reminds me of the quote, “If you don’t know where you are going, any ...
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4 Traits to Help You Make the BIC Top 50

4 Traits to Help You Make the BIC Top 50

SuperUser Account posted on November 19, 2015

I was speaking with a client recently about events in her life. Turns out, she is being sued by a neighbor over a minor dispute. After our conversatio...
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You Have a New Job Offer — Now What?

You Have a New Job Offer — Now What?

SuperUser Account posted on October 27, 2015

Most advisors will change firms three or four times over their careers. But the specifics of making a career move in the best way for you remain elusi...
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Loyal Clients Key for Advisor's Retirement

Loyal Clients Key for Advisor's Retirement

SuperUser Account posted on October 01, 2015

Advisors focus on helping their clients achieve their financial goals, keeping them on track to enjoy the retirement of their dreams. But what about t...
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Educate Prospects to Win More Business

Educate Prospects to Win More Business

SuperUser Account posted on June 01, 2015

Most of us like dealing with others who we feel are competent.Whether we are buying a home, having our taxes prepared or buying a vacuum cleaner, it g...
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Great Brokerage Managers: Born or Made?

Great Brokerage Managers: Born or Made?

SuperUser Account posted on April 29, 2015

  Brokerage managers come in all shapes and sizes. Some promise financial advisors the world and deliver very little. Others are know-it-all...
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The Psychology of Success

The Psychology of Success

SuperUser Account posted on April 01, 2015

What makes us successful in life? Why do some of us become great parents who raise wonderfully balanced children and others don’t? Why do some become ...
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When Are Bigger Banks Better?

When Are Bigger Banks Better?

SuperUser Account posted on March 02, 2015

Does size really matter when it comes to the banks that financial advisors work with? More specifically, do large banks actually help advisors grow at...
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Adopting New Habits for the New Year

Adopting New Habits for the New Year

SuperUser Account posted on January 05, 2015

For most people, the gap between knowing what to do and actually doing it is vast. This is true for most aspects of life—not just financial advising. ...
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How to Quit the Right Way: Checklist For Advisors

How to Quit the Right Way: Checklist For Advisors

SuperUser Account posted on December 16, 2014

Resigning from an employer is a big event in an advisor’s career. There are several best practices that you should follow to protect yourself. Here at...
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5 Characteristics of a Million Dollar Producer

5 Characteristics of a Million Dollar Producer

SuperUser Account posted on October 16, 2014

It was 5 p.m. and Amy, a financial advisor producing about $1.4 million, was heading to her sixth appointment of the day. She had closed four out of h...
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Case Study of Career Changer

Case Study of Career Changer

SuperUser Account posted on July 16, 2014

The story you are about to read is true. Only the names have been changed to protect their confidentiality. Bill Fisher remembers the straw that broke...
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Cold Calling: Relic From A Previous Age or Simply a Lost Art?

Cold Calling: Relic From A Previous Age or Simply a Lost Art?

SuperUser Account posted on June 16, 2014

Does cold calling still work? You bet your favorite stock it does – and it works better than ever, despite views to the contrary. Many industry profes...
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Listen to Clients Before You Try to Sell

Listen to Clients Before You Try to Sell

SuperUser Account posted on April 16, 2014

As a financial advisor, it is vital that you understand the art and science of sales. What you are really selling is yourself: your knowledge, trust, ...
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When Your Employer Just Isn't Your Type

When Your Employer Just Isn't Your Type

SuperUser Account posted on March 30, 2014

Many advisors don’t understand the variety they have in possible employers. And without that understanding, they often fail to grasp the importance of...
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Hunting for Clients? Start Linking In.

Hunting for Clients? Start Linking In.

SuperUser Account posted on March 03, 2014

A funny thing happened on the way to our present day. Sometime in the past seven years or so, we all began connecting with each other like never befor...
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Establishing Your Plan Of Attack

Establishing Your Plan Of Attack

SuperUser Account posted on January 14, 2014

WEDNESDAY, JANUARY 1, 2014 When I was an advisor, I was often shocked to discover that many of the advisors I worked with didn't know their production...
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Financial Advisors Have Retirement Options But May Not Know It

Financial Advisors Have Retirement Options But May Not Know It

SuperUser Account posted on November 01, 2013

FRIDAY, NOVEMBER 1, 2013 It's five in the morning, and Roberto is pushing through the rolling three-foot waves about to enjoy some deep-sea fishing of...
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What Do You Want To Be When You Grow Up?

What Do You Want To Be When You Grow Up?

SuperUser Account posted on October 01, 2013

TUESDAY, OCTOBER 1, 2013   Most people spend the greater part of their lives working. Work has always been a big part of human existence. A few t...
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Master The Psychology Of Selling

Master The Psychology Of Selling

SuperUser Account posted on September 26, 2013

Rick Rummage is founder and CEO of theRummage Group, an advisor recruiting firm in Herndon, Va. You’re sitting in the conference room across from...
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Time Management Can Make Or Break Your Career

Time Management Can Make Or Break Your Career

SuperUser Account posted on September 04, 2013

You're sitting at your desk overwhelmed by all the things you have to do. You're excited about all the new business you have, but you worry there are ...
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If You Fail To Plan, You May As Well Plan On Failing

If You Fail To Plan, You May As Well Plan On Failing

SuperUser Account posted on June 03, 2013

TUESDAY, JANUARY 1, 2013 One of the biggest mistakes most financial advisors make is not having a business plan or real goals. And for those who do ha...
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Where Did Everyone Go?

Where Did Everyone Go?

SuperUser Account posted on May 01, 2013

WEDNESDAY, MAY 1, 2013   ATM machines, online banking, remote deposits—it seems like banks don't want their customers coming to the branches anym...
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Fear, The Silent Career Killer

Fear, The Silent Career Killer

SuperUser Account posted on April 01, 2013

MONDAY, APRIL 1, 2013 I have spent much of life analyzing the behaviors and actions of others. Even when I was young, I remember pondering the decisio...
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Work On Your Relationships To Improve Your Career

Work On Your Relationships To Improve Your Career

SuperUser Account posted on March 02, 2013

The relationship between a financial advisor and a client is the crux of this industry. That may sound trite, but it's true. Success as a financial ad...
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An Ounce Of Prevention - 10 Tips For Advisors

An Ounce Of Prevention - 10 Tips For Advisors

SuperUser Account posted on March 01, 2013

FRIDAY, MARCH 1, 2013  Moving your practice can be overwhelming. There is a lot that can go wrong because there are many moving parts. When you a...
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Don't Wait For Business To Come To You - Go Out And Get It.

Don't Wait For Business To Come To You - Go Out And Get It.

SuperUser Account posted on December 01, 2012

Saturday, December 1, 2012 I have spent most of my life either working as a financial advisor or helping other advisors take their businesses to the n...
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Don't Wait For Business To Come To You - Go Out And Get It.

Don't Wait For Business To Come To You - Go Out And Get It.

SuperUser Account posted on December 01, 2012

Saturday, December 1, 2012 I have spent most of my life either working as a financial advisor or helping other advisors take their businesses to the n...
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5 Tips When Interviewing for That Next Big Job

5 Tips When Interviewing for That Next Big Job

SuperUser Account posted on November 27, 2012

Tuesday, November 27, 2012 So you are sitting in the lobby surrounded by marble and fine wood. Your palms are a little sweaty and your heart is racing...
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Understanding Pain And Pleasure To Win More Clients

Understanding Pain And Pleasure To Win More Clients

SuperUser Account posted on November 06, 2012

Thursday, November 1, 2012 The most basic human drive is to avoid pain and seek pleasure. It is at our core and determines most of our behaviors. Most...
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Why I Support Mitt Romney

Why I Support Mitt Romney

SuperUser Account posted on November 02, 2012

Rick Rummage is CEO of the Rummage Group, a recruiting firm. This is the second of two opinion articles about November’s presidential election. The f...
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The Right Questions Will Get You There

The Right Questions Will Get You There

SuperUser Account posted on October 15, 2012

Monday, October 1, 2012 There you are driving home one Friday after a long, first week at your new job. And upon reflection, you realize it was a terr...
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10 Requirements For Building A Successful Bank Program

10 Requirements For Building A Successful Bank Program

SuperUser Account posted on August 01, 2012

August 1, 2012   Consider our story of a CEO of an average-size bank. He could never figure out why his brokerage division did not generate more ...
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How To Grow Your Practice Part 1

How To Grow Your Practice Part 1

SuperUser Account posted on June 14, 2012

May 1, 2012   Making it as a financial advisor is one of the hardest professional achievements in the world. Out of every 100 who try, only 10 wi...
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Finding the Right Fit - Insights From Recruiters

Finding the Right Fit - Insights From Recruiters

SuperUser Account posted on June 05, 2012

Finding The Right Fit - Insights From RecruitersThursday, April 28, 2011 by AdministratorStarting to look for a new job can be very daunting, esp...
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The Art Of The Close

The Art Of The Close

SuperUser Account posted on April 05, 2012

Anyone who has spent enough time in sales has heard about the ABCs of selling-Always Be Closing. If you want to make money in sales, "you have to know...
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UBS To Win Wirehouse Recruiting Wars

UBS To Win Wirehouse Recruiting Wars

SuperUser Account posted on March 29, 2012

March 29, 2012 UBS Wealth Management Americas will dominate this year’s wirehouse recruiting wars, beating out competitors Merrill Lynch, Morgan Stan...
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What's Next For Regions Bank

What's Next For Regions Bank

SuperUser Account posted on March 20, 2012

By Dave Lindorff March 1, 2012   The recently announced billion-dollar deal for Raymond James to buy the Morgan Keegan brokerage and investment b...
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Books Worth More Than Handshakes

Books Worth More Than Handshakes

SuperUser Account posted on February 24, 2012

By Margarida CorreiaFebruary 24, 2012¦In the world of advisors, nothing better defines you than your book of business. Your AUM, production, asset gro...
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A Declaration Of Independence

A Declaration Of Independence

SuperUser Account posted on February 01, 2012

February 1, 2012 ¦ Stories abound about advisors leaving wirehouses and regional firms to go independent, but how about bank-based advisors. Do bank-b...
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How To Grow Your Practice Part 2 - Get Up To Speed on Marketing Yourself

How To Grow Your Practice Part 2 - Get Up To Speed on Marketing Yourself

SuperUser Account posted on February 01, 2012

June 1, 2012   Knowing how to market and grow is crucial in this business. Most advisors don't have a high growth rate because they lack a plan o...
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Are You A Trusted Advisor Or A Product Salesman?

Are You A Trusted Advisor Or A Product Salesman?

SuperUser Account posted on December 01, 2011

By Rick Rummage December 1, 2011 ¦ Being a financial advisor is one of the best professions in the world. Being a rock star or a movie star would be c...
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Advisors Must Address Psychology of Markets

Advisors Must Address Psychology of Markets

SuperUser Account posted on November 11, 2011

Rick Rummageis CEO of The Rummage Group, a recruiting firm.Macroeconomic factors are top of mind among advisors these days. Advisors hear a lot o...
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Citi's Wealth Management On The Right Track Now

Citi's Wealth Management On The Right Track Now

SuperUser Account posted on November 01, 2011

By Elizabeth Wine November 1, 2011 ¦ In the latest development in its two-year over- haul of its wealth management business, Citigroup announced that ...
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MSSB Shifts Client Accounts To Advisor Trainees

MSSB Shifts Client Accounts To Advisor Trainees

SuperUser Account posted on October 27, 2011

By Tom Stabile October 27, 2011 A new advisor training program at Morgan Stanley Smith Barney is adding what appears to be a unique feature – pr...
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Poll: Protesters Wrong to Blame Wall St For Woes

Poll: Protesters Wrong to Blame Wall St For Woes

SuperUser Account posted on October 12, 2011

By Danielle Sottosanti October 12, 2011 Protesters’ anger with Wall Street is unwarranted, say a plurality of Ignites poll respondents. Roughly ...
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Are You Happy Or Just Insane

Are You Happy Or Just Insane

SuperUser Account posted on October 01, 2011

By Rick RummageOctober 1, 2011Why did you get into the brokerage business? Was it because you loved the idea of helping individuals secure a sound fin...
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Eaton Vance Adds Institutional Sales Co-Heads

Eaton Vance Adds Institutional Sales Co-Heads

SuperUser Account posted on September 06, 2011

Eaton Vance is staffing up its growing institutional business, most recently adding two co-directors of institutional sales to a list of key hires thi...
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Compliance And Change

Compliance And Change

SuperUser Account posted on September 01, 2011

By Lee Conrad September 1, 2011 ¦ Advertisement Compliance is the new black—it's fashionable and über-ubiquitous. And it's the focus of Bank Investme...
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Compliance Headaches For A Bank-Based Advisor

Compliance Headaches For A Bank-Based Advisor

SuperUser Account posted on September 01, 2011

By Rick RummageSeptember 1, 2011 It's 4 p.m. and the market just closed. You are in a great mood because you just had one of the best production ...
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Advisor Compensation Surging

Advisor Compensation Surging

SuperUser Account posted on August 25, 2011

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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Look Before You Leap

Look Before You Leap

SuperUser Account posted on August 01, 2011

By Rick RummageSeptember 1, 2011¦Here's a scenario that will sound familiar to a lot of bank brokers: You move to a new bank, but you realize wit...
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An Idea Whose Time Has Come

An Idea Whose Time Has Come

SuperUser Account posted on July 15, 2011

By Lee Conrad July 1, 2011 ¦ I've been a fan of behavioral finance for a long time and I've often argued that it offers important lessons for Corpora...
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Advisors Stressed By Less Pay

Advisors Stressed By Less Pay

SuperUser Account posted on July 11, 2011

By Danielle Sottosanti July 11, 2011 First in a three-part series on issues facing advisors. Financial advisors are concerned about regulatory r...
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Go Mental To Close More Business

Go Mental To Close More Business

SuperUser Account posted on July 01, 2011

Knowing your personality, and your client's, is a start but it's not enough-you also need to know the chemistryBy Rick RummageJuly 1, 2011 Have y...
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Advisors Who Want Independence Are Urged To Talk To Chuck

Advisors Who Want Independence Are Urged To Talk To Chuck

SuperUser Account posted on June 25, 2011

  Some financial industry observers were surprised last year when Merrill Lynch announced it was moving into the mass affluent market with its Me...
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Industry Gender Bias Roll

Industry Gender Bias Roll

SuperUser Account posted on June 16, 2011

By Danielle Sottosanti June 16, 2011 Gender discrimination is common across the asset and wealth management industry, the majority of FundFire p...
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All FAs Inherit Assets, Some Just Swagger More Than Others.

All FAs Inherit Assets, Some Just Swagger More Than Others.

SuperUser Account posted on June 01, 2011

By Rick RummageJune 1, 2011Sometimes you'll hear financial advisors at wirehouses brag about how they built their businesses in a superhuman way. They...
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Jargon Damages Advisor Client Relations

Jargon Damages Advisor Client Relations

SuperUser Account posted on May 25, 2011

By Gregory Shulas May 12, 2011 Advisors risk losing business when they use too much financial jargon in their discussions with clients. That’s a...
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Cross Selling: Vital, But Badly Executed

Cross Selling: Vital, But Badly Executed

SuperUser Account posted on May 12, 2011

The lack of incentives at banks impedes the flow of referrals—and management isn't helping By Elizabeth Wine May 1, 2011   Forty percent of bank-...
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Finding the Right Fit

Finding the Right Fit

SuperUser Account posted on May 05, 2011

Finding the Right Fit—Insights from RecruitersStarting to look for a new job can be very daunting, especially if you don’t have a clear idea of what y...
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Straddling The Fence

Straddling The Fence

SuperUser Account posted on May 01, 2011

By Lee Conrad May 1, 2011   Being the boss brings a host of challenges. Notably, the manager's interests are not necessarily aligned with the in...
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Creating A Plan For Success

Creating A Plan For Success

SuperUser Account posted on May 01, 2011

By Rick Rummage May 1, 2011   A lack of planning is a common mistake in all aspects of life. How does someone know when they've arrived if they d...
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Why It's Not Your Father's Wirehouse Anymore

Why It's Not Your Father's Wirehouse Anymore

SuperUser Account posted on April 21, 2011

I can’t figure out when the entrepreneurial culture of the wirehouse began to fade away, but it did in fact disappear. Past generations had a complete...
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MSSB Wells Vets Hop To Young Brokerage

MSSB Wells Vets Hop To Young Brokerage

SuperUser Account posted on April 06, 2011

By Tom Stabile April 6, 2011 An upstart brokerage is bulking up with wirehouse veterans and opening new offices this year as it aims to stretch ...
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Back In The Game

Back In The Game

SuperUser Account posted on April 01, 2011

BIC's survey shows that advisors have been making more money across the board By Dave Lindorff April 1, 2011 ¦ Advertisement It's a new day for many ...
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Through The Crisis Average Bank Pay Grew

Through The Crisis Average Bank Pay Grew

SuperUser Account posted on March 31, 2011

By Jeff Horwitz, American Banker March 31, 2011 ¦ Advertisement The past few years have been very rewarding for bank employees. OK, maybe not the gove...
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Licensed Platform Reps

Licensed Platform Reps

SuperUser Account posted on March 04, 2011

I was talking to our friend, recruiter Rick Rummage, the other day and he was commenting on a news story we did about Union Bank of California, which ...
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Concerns Surround Merrill's Plans for BofA Advisors, Clients

Concerns Surround Merrill's Plans for BofA Advisors, Clients

SuperUser Account posted on March 04, 2011

By Howard J. StockMarch 5, 2010Letters are now going out to Bank of America investment clients explaining that in a couple of months, their accou...
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All Public Panels Approved For Arbitrations

All Public Panels Approved For Arbitrations

SuperUser Account posted on March 01, 2011

A step in the right direction - or just a cost increase? By Lorie Konish March 1, 2011   The move may be hailed by investor groups, but other in...
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Wirehouses 'Winging It' on Facebook, Twitter.

Wirehouses 'Winging It' on Facebook, Twitter.

SuperUser Account posted on February 25, 2011

Wirehouses ‘Winging It’ on Facebook, TwitterArticle published on January 27, 2010 By Tom Stabile    Most top wealth managemen...
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Talent Shortage Ahead

Talent Shortage Ahead

SuperUser Account posted on February 12, 2011

US Banker  |  February 2011By Marissa FajtMany bank chief executives are nearing retirement and one of the big challenges for the industry o...
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Wirehouses Tweak Advisor Pay to Boost New Biz

Wirehouses Tweak Advisor Pay to Boost New Biz

SuperUser Account posted on February 11, 2011

Wirehouses Tweak Advisor Pay to Boost New BusinessThursday, April 28, 2011 by Administrator Wirehouses Tweak Advisor Pay to Boost New BizBy&...
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SEC Approves All Public Panel

SEC Approves All Public Panel

SuperUser Account posted on February 01, 2011

By Lorie Konish February 1, 2011   The Securities and Exchange Commission has approved a rule change to allow the option for all public panels i...
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Why The Branch Manager Role is Broken

Why The Branch Manager Role is Broken

SuperUser Account posted on January 13, 2011

Office politics can poison relationships; it can also lead to bad management decisions at brokerages, where favoritism, mismanagement in hiring and co...
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MSSB Vet Runs Morgan Keegan

MSSB Vet Runs Morgan Keegan

SuperUser Account posted on January 12, 2011

By Tom Stabile January 12, 2011 Morgan Keegan is aiming to quickly build up a wealth management presence in the Baltimore-Washington, D.C., regi...
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Poll: Work Life Balance Paid Lip Service

Poll: Work Life Balance Paid Lip Service

SuperUser Account posted on January 12, 2011

January 12, 2011 Fund firms are encouraging a work-life balance for their employees, but only if it doesn’t mean taking on added expenses. That’s acc...
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The Resume That Wrecked My Life

The Resume That Wrecked My Life

SuperUser Account posted on December 29, 2010

By Rick Rummage December 29, 2010¦ Advertisement I was driving home from the interview more excited than I had been in years. I could not believe that...
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Poll: Industry Workers Stressed and Depressed

Poll: Industry Workers Stressed and Depressed

SuperUser Account posted on December 16, 2010

Mariah Summers The typical asset and wealth management job is not only depressing, but stressful as well. That’s according to a plurality of responden...
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Tips For Successfully Transitioning Your Team

Tips For Successfully Transitioning Your Team

SuperUser Account posted on December 01, 2010

Whether you’re a solo advisor or a member of a team, you can do many things to help your transition go smoothly, such as hiring a competent securities...
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Preparing for Termination - What You Need to Know.

Preparing for Termination - What You Need to Know.

SuperUser Account posted on October 27, 2010

Whether or not you are planning on changing firms, you should always have proof of production and a rolodex of client’s names and numbers outside the ...
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Why Advisors Are Not Changing Firms

Why Advisors Are Not Changing Firms

SuperUser Account posted on October 27, 2010

“Let’s make a deal… How much do you want?... Pick a number.” These are the things you are hearing from the hiring brass at many wealth management firm...
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New Tool Benchmarks Advisor Wrap Biz Pricing

New Tool Benchmarks Advisor Wrap Biz Pricing

SuperUser Account posted on September 29, 2010

New Tool Benchmarks Advisor Wrap Biz PricingThursday, April 28, 2011 by AdministratorNew Tool Benchmarks Advisor Wrap Biz PricingBy Tom Stab...
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FINRA Proposes All-Public Arbitration Panels

FINRA Proposes All-Public Arbitration Panels

SuperUser Account posted on September 28, 2010

FINRA is proposing all-public arbitration panels in a rule it’s filing with the Securities and Exchange Commission next month, following a two-year pi...
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Preparing for Termination

Preparing for Termination

SuperUser Account posted on September 24, 2010

By Rick RummageOctober 26, 2010Whether or not you are planning on changing firms, you should always have proof of production and a rolodex of client’s...
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What's Wrong With Bank Brokerage?

What's Wrong With Bank Brokerage?

SuperUser Account posted on September 01, 2010

While bank brokerage certainly has found a solid footing in the investment industry over the past 10 years, its advisors still lag their wirehouse cou...
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Wirehouses Needing to Grow, May Look to Grads

Wirehouses Needing to Grow, May Look to Grads

SuperUser Account posted on July 14, 2010

By Tom Stabile June 14, 2010The latest generation of wealth management-focused university degree programs is getting on the recruiting radar...
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Money Talk Compensation Survey Bank Brokerage

Money Talk Compensation Survey Bank Brokerage

SuperUser Account posted on March 10, 2010

There isn't too much data available about how banks pay reps, in part because banks don't hire as aggressively as wirehouses and see little need to ad...
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Back Office Move Has Advisors Up In Arms

Back Office Move Has Advisors Up In Arms

SuperUser Account posted on February 13, 2010

Bank says everything is fine, but others say that advisors from both sides are displeased By Howard J. Stock April 1, 2010 ¦ Advertisement Letters ar...
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What Does The Future Hold?

What Does The Future Hold?

SuperUser Account posted on February 11, 2010

After a grueling year, 2010 promises growth for the right kinds of investment programs.By Pamela J. BlackJanuary 1, 2010Having made it back from the b...
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