by Patrick M. Kelly | Dec 8, 2011 | Financial Advisors, Stress
[pullquote]Predictability, consistency and accountability are essential for ensuring client confidence.[/pullquote] Read an interesting article in the December edition of OnWallSteet. Written by Dr. Denise Federer, clinical psychologist, executive coach and founder of...
by Patrick M. Kelly | Dec 5, 2011 | Wall Street, wirehouses
Who will lead the wirehouse industry in 2012? FundFire’s annual poll asked the question: “Which of the four major wirehouses is best positioned, in terms of its overall strength in the wealth management space?” Results pointed to Morgan Stanley Smith Barney with 43%...
by Patrick M. Kelly | Nov 30, 2011 | Financial Services Industry, Wall Street
While other banks are under pressure to cut their dividends, UBS surprised analysts and investors with their announcement that they would begin paying dividends again. (The last cash dividends were paid in 2006.) The announcement came at an investor event in New York...
by Patrick M. Kelly | Nov 28, 2011 | Training Programs, Women Financial Advisors
The new training program, Advisor Mastery Program or AMP was launched in October by Raymond James with 35 participants and based in the California, Colorado, Florida, Indiana, Michigan and Texas branches. With a goal to attract more women, the class boasts 35% female...
by Patrick M. Kelly | Nov 23, 2011 | Financial Services Industry, RIA
“Instead of the Securities And Exchange Commission (SEC) or the Financial Industry Regulatory Authority (Finra) examining RIA firms, the firms themselves should foot the bill for their own periodic compliance examination by using an outside body. “ That’s the...
