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Rush to comply leaves some reps caught in middle

October 4, 2004

NEW YORK - Some registered representatives are feeling increasingly punch-drunk from the un-precedented rush to regulate the securities industry, according to brokers, executives with broker-dealers, attorneys and recruiters. On one side, there...

Brokers set sights on booming 403(b) market

October 4, 2004

SAN FRANCISCO - A teacher hiring boom is attracting attention from broker-dealers and financial advisers. The Spectrem Group Inc. of Chicago last year said U.S. schools are expected to hire 2 million teachers over the next 10 years. Jon Ziehl,...

A rush to head off 529 regs

September 27, 2004

NEW YORK - As the mutual fund scandals continue to gallop across newspaper headlines, state officials who run the fast-growing but increasingly scrutinized Section 529 college savings plans are in the middle of a high-stakes battle to prove...

Most big brokers find ways to continue extra loss protection

September 27, 2004

WASHINGTON - About a year ago, many insurance carriers stopp-ed selling certain policies that brokerage houses buy to provide extra protection for their customers in case investment firms fail. Insurers such as Travelers Property Casualty Corp....

SEI's restructuring is a boon to AssetMark

September 27, 2004

SAN FRANCISCO - The or-phaning of scores of financial advisers by SEI Investments Co. is in full swing. But at least one company is welcoming these advisers with open arms and emerging as a new force. AssetMark Investment Services Inc. of Pleasant...

Lincoln's new pay package both gives and takes

September 20, 2004

NEW YORK - Lincoln Financial Advisors Corp. of Fort Wayne, Ind., is giving to its affiliated advisers with one hand and taking away with the other. In a move that observers said is finally pushing the firm closer in line with the industry, the...

Fidelity adds compliance layer for reps

September 20, 2004

NEW YORK - Preliminary moves by two leading mutual fund companies to reduce potential late trading and market timing have forced some registered representatives and financial advisers to face hard questions over their clients' retirement accounts....

M Financial teams up to create money management platform

September 13, 2004

NEW YORK - One of the fastest-growing independent broker-dealers in the industry is teaming up with a top Wall Street firm to create a proprietary money management platform. In a move that mimics its relationships with top insurance companies,...

CEOs of insurer-owned brokers out-earned peers

August 30, 2004

NEW YORK - Although many insurer-owned independent broker-dealers are swimming in red ink, chief executives of such firms typically out-earned their peers at non-insurer-owned independents by one-third last year, according to a new study. The...

Proposed rule changes on VA sales win few fans

August 30, 2004

NEW YORK - As independent broker-dealers continue to generate more revenue from variable annuities, the brokerage industry is in a heated discussion over how best to sell the hybrid investment product. Last week, NASD of Washington made public...

Broker targets small-bank asset wannabes

August 30, 2004

NEW YORK - It used to be that banks relied on deposits and loans to make money. These days, though, banks realize that they can make significantly more money by managing assets for their clients. A new broker-dealer, San Diego-based Advanced...

SEC reopens Merrill rule debate

August 30, 2004

SAN FRANCISCO - The Financial Planning Association last week aimed a second legal barrage at the Securities and Exchange Commission over the so-called Merrill Lynch rule but then held its fire. In a follow-up to its July 27 lawsuit against the...

A gap between independents and insurance-owned brokers

August 23, 2004

NEW YORK - Independent broker-dealers began to recover last year, but the contrast in results between independent firms and insurance-owned broker-dealers remained stark, according to this year's survey of independent firms by Moss Adams LLP...

At broker-dealer firms owned by insurers, the cracks are showing

August 16, 2004

NEW YORK - The deep cracks in many of the insurance-company-owned independent-broker-dealer networks are showing, according to a recent report by UBS Investment Research, a unit of UBS Financial Services Inc. in New York. According to the report,...

LPL improves adviser access to alternatives

August 9, 2004

NEW YORK - Linsco/Private Ledger Corp., the industry's leading independent broker-dealer, is adding alternative investments for brokers and advisers, putting them on a greater par with wirehouse broker-dealers. Linsco, based in San Diego and...

Schwab rolling dice on keynoter Clinton

August 9, 2004

SAN FRANCISCO - Charles Schwab & Co. Inc. dropped more than 5,000 invitations in the mail late last week to financial advisers officially proclaiming that former President Bill Clinton will serve as keynote speaker at the firm's annual adviser...

Commonwealth to edge up its payout for some brokers

July 26, 2004

NEW YORK - In a move that may help with recruiting, Commonwealth Financial Network of Waltham, Mass., this month said that it is bumping up its payout to some of its registered representatives. The move increases the payout to 87%, a rise of...

A top indie to do E&O on its own

July 12, 2004

NEW YORK - In a highly unusual move, a leading independent broker-dealer has severed ties with the insurance carrier for its brokers, and set up its own independent insurance company. Commonwealth Financial Network made the move because it believes...

Next for Lincoln: Pay overhaul

June 28, 2004

NEW YORK - Lincoln Financial Advisors Corp. of Fort Wayne, Ind., has spent the past year going through a reorganization of its top executives and network of registered representatives. Now it is preparing to change how it pays its brokers and...

Smith Barney broker group takes bull by the horns

June 21, 2004

SAN FRANCISCO - A group of the most powerful stockbrokers at Smith Barney Inc. is creating guidelines that could push the firm across the final frontier from product pusher to financial counselor. Drafting the guidelines, however, could cause...

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