Schwab Announces 2007 Impact Award Winners at Conference
By Bob KeaneThe winners of Schwab Institutional's second annual Impact Awards were announced at the firm's advisor conference in Las Vegas (October 28-31). Dr. Lewis J. Altfest...
October 21, 2007
How To Become A Registered Investment AdvisorAn increasing number of independent agents are evaluating whether to set up a registered investment adviser (RIA) firm or become an investment adviser representative (IAR) ...
October 19, 2007
Brokers Want Growth, Recruiting, and RetentionTo help their correspondents achieve these business goals, National Financial is launching two new initiatives to support these broker/dealers in their efforts to recruit and develop representatives.
October 16, 2007
Advantage: RIAI read an interesting article the other day pertaining to the recently overturned broker dealer rule. You see, I am currently in the process of...
October 12, 2007
New Head for Fidelity Institutional ServicesFidelity Investments has named Michael Clark, former CEO of JPMorgan's $15 trillion Worldwide Securities Services business, to head its institutional services business.
October 10, 2007
What Is a Financial Advisor?I know this blog is supposed to chronicle my journey to independence, but there has been a question rolling around in my gray matter for...
October 01, 2007
Your Assistance, Please!In this blog, I'd like to ask your help on a few important issues. As I enter my seventh month of independence, I find some...
September 23, 2007
Of Webinars and PostcardsLast week I wrote about my upcoming Webinar and some marketing plans. Here's how those two items have developed. Webinar Update The Webinar was held last Wednesday...