Disqus - Latest Comments for RegRep_editors

Re: Maximizing Referrals and Introductions: Who Are Your "Connectors"?

RegRep_editors — Wed, 30 May 2012 11:16:17 -0000

We have written on this topic. See January 2012 issue, New Town, "New Strategy" by Anne Field. http://tinyurl.com/7blvkq2

Her article begins thus:

A few years ago, Michael Hardy, an advisor in Buffalo, N.Y., fell in love. Only trouble was, the woman in question lived in New York City — and together they decided he should move down there, too. But what would he do about his practice?

The answer, as it turned out, was surprisingly straightforward. Hardy would move down to the Big Apple, but continue serving his clients up in Buffalo, doing his best to build relationships in his new home base. Hardy had joined his firm, Mollot & Hardy, 10 years earlier, and his partner, who had started the practice about 20 years before that, would continue to run operations from Buffalo.

Re: 5 Ways Financial Advisors Can Engage Women Clients

RegRep_editors — Wed, 28 Mar 2012 15:59:25 -0000

Good catch Beth. Thanks!

Re: Compliance Outsourcing Gains Favor With RIAs

RegRep_editors — Fri, 16 Dec 2011 14:22:10 -0000

See today's story. Also there is a firm called National Regulatory Services based in Lakeville, Conn.

Re: Opinion: In Defense of the Asset-Based Fee Model

RegRep_editors — Thu, 29 Sep 2011 11:09:28 -0000

Thanks for the comment. We're discussing this topic today on Twitter at 1 p.m. EST. to participate, go to #regreptalks. thanks!

Re: Pros and Cons of the Healthcare Reform Law

RegRep_editors — Mon, 06 Jun 2011 13:59:07 -0000

Our healthcare system is hardly a free market. Indeed, government interevention (state and federal) has messed up the pricing mechanism of healthcare and is why healthcare costs beat inflation year in and year out. thanks for your reply, David A. Geracioti, RR editor-in-chief and author of VonAldo.com, an opinionated free-market blog.

Re: More Changes at Edward Jones, Chief Strategist Alan Skrainka Out

RegRep_editors — Fri, 04 Feb 2011 09:22:27 -0000

Editor's note: Readers should know that goodnewsforinvestors.com is Skrainka's own website. As editor-in-chief of Registered Rep., I met Alan when he was still chief strategist at Edward Jones. I liked his research and observations too. His website is worth a look, actually.
David Geracioti, editor-in-chief of registeredrep.com and the magazine too. Please feel free to call or email me.

Re: Insurers Raising Premiums, Changing Terms on Long-term Care Policies

RegRep_editors — Thu, 20 Jan 2011 08:02:47 -0000

The author of the story regrets his stupid mistakes and has corrected them on the current version online. Thank you --- and the dozen or so others --- who caught the mistakes. -- The Editors

Re: Insurers Raising Premiums, Changing Terms on Long-term Care Policies

RegRep_editors — Thu, 20 Jan 2011 08:01:13 -0000

The author of the story regrets his stupid mistakes and has corrected them on the current version online. Thank you --- and the dozen or so others --- who caught the mistakes. -- The Editors

Re: Multi-family Offices See Consolidation and Customized Services In 2011

RegRep_editors — Fri, 17 Dec 2010 17:02:34 -0000

Appreciate the compliment (I think), but story really doesn’t say there are “way too many providers” in multi-family office space. Consolidation being driven more by high costs, margin erosion and need for scale. Demand still there for firms that can provide services well and profitability, but competition is intense. Dodd-Frank legislation should also shake things up, so it should be fun to follow the family office business in 2011.

Charles Paikert
Managing Editor
Registered Rep./Wealth Management Letter
212-204-4254
charles.paikert@penton.com

Re: Jones Raising Production Expectations

RegRep_editors — Wed, 23 Jun 2010 16:29:15 -0000

Hi, this is David Geracioti, editor-in-chief. I spoke to Jim Weddle and apologized. It's a truly stupid picture. We wanted to illustrate the no-nonsense approach of EJ, but blew it with that stupid picture. In the cold light of day, it doesn't work at all. Sorry.

Re: Bank of America Ramps Up Online Brokerage

RegRep_editors — Tue, 08 Jun 2010 08:13:45 -0000

What is the strategy behind forcing FAs to give up smaller accounts? Do you still get paid on any of that? Or are payouts reduced as "punishment" for having small accounts? And don't small accounts sometimes grow in to big one? David Geracioti, editor-in-cheif of Registered Rep and RegisteredRep.com

Re: The Pros and Cons of Annuities

RegRep_editors — Thu, 15 Apr 2010 17:37:40 -0000

Yes, it's old but it still is a fine survey of the subject. At least, judging from the traffic that hits the article.

Re: Sweating the CFP

RegRep_editors — Sat, 06 Feb 2010 07:45:08 -0000

This is David Geracioti, editor-in-chief of Registered Rep. (print and website). Why are firms "abandoning their support of the CFP designation," as you state above? I thought the b/ds had come to terms with the CFP Board's "loose" statement of conduct (i.e. that you could be dually registered and therefore operate at times under the SEC Actof 1934, i.e. suitability standard, and the Advisers Act of 1940, the fiduciary standard?

Would love to hear the gossip. Thanks, David (david.geracioti@penton.com)

Re: U5 Hazard

RegRep_editors — Thu, 01 Oct 2009 13:25:12 -0000

Your "permanent record" is available online, at http://www.finra.org/Invest...

Re: Asset Shuffle: Wirehouses Lose Market Share to Independents

RegRep_editors — Mon, 03 Aug 2009 11:31:04 -0000

Sir: Thank you for your note. But I fear you may have misread the story. We say (quoting Aite Group research) that LPL, Ameriprise, RBC Wealth Mgt. and Edward Jones TOGETHER, as in combined, added 3,000 FAs in 2008. We state that Ed Jones accounted for about half --- or 1,500 --- of those FAs. We also note in the story that wirehouse firms --- though still dominant --- are losing market share. RIAs, in particular, have been successfull in attracting retail assets.