by Patrick M. Kelly | Mar 16, 2012 | FINRA, Technology
FINRA hopes to eliminate administrative delays in the filing by firms of continuing membership applications. When a broker-dealer has an operation, change of ownership, or control change, they are required to file a continuing membership application (the 1017 process)...
by Patrick M. Kelly | Mar 14, 2012 | Financial Recruiting Industry, Job Market
[pullquote]a global financial leader with integrity as a core value[/pullquote]Since their founding in 1894 by John Tappan in Minneapolis, MN, Ameriprise Financial has grown into a global financial leader with integrity as a core value. With corporate offices across...
by Patrick M. Kelly | Mar 9, 2012 | Compensation, Financial Recruiters
After reading the compensation rankings for advisory firms cited in my last blog article, see what our founder, CEO and President Bill Willis has to say in his article in the March issue of OnWallStreet. [pullquote]Have the firms gone too far with their huge retention...
by Patrick M. Kelly | Mar 8, 2012 | Compensation, Financial Recruiters
Each year OnWallStreet magazine publishes their annual report on compensation rankings by advisory firms. A new trend this year points to growth in team based award programs. As financial recruiters, we’ve definitely seen more and more firms recruiting high end...
by Patrick M. Kelly | Mar 5, 2012 | Financial Recruiters, Job Market
Reuters reported last week that Merrill Lynch is upping their ante for recruitment of top brokers whose performance put them in the top 40 percent of their peers. An upfront cash payment of 150 percent of the fees and commissions they earned during the prior 12 months...
