Jeff Montgomery will be joining Al Frank Asset Management as CEO effective May 1. He was formerly CEO of the broker/dealer National Financial Partners Securities,...
Royal Alliance Shifts Gears
Much of the industry's future growth, as far as Royal Alliance's Larry Roth is concerned, lies in fee-based business. And Roth, who's been at the...
Stepping Up at Royal
Larry Roth, president and CEO of the AIG Advisor Group broker/dealer Royal Alliance Associates, announced several management promotions on September 21.
How to Succeed, over Salad
High-level business executives like James R. Cannon tend to shun hyper-caloric business lunches. Besides, coming from Phoenix, where AIG Financial Advisors is headquartered, you no...
ING Advisors Network President Valerie Brown can't pinpoint exactly when it happened, but somewhere in 2002 or 2003, a shift occurred in the technological relationship...
Goldberg Out at Royal Alliance
R. Lawrence Roth named as replacement
The Next Step
When considering a transition from commissions to fees, the first question for planners is usually something along the lines of "How much money am I...
Broker/Dealer Special Report: Branch Managers--Helping Hand
With the forecast for Santa Monica last October 15 showing pleasant skies and a high temperature near 70, the pool at the historic Fairmont Miramar...
Best of the Bunch
In evaluating a mutual fund or any potential investment, the prudent advisor always looks at the track record of the investment. The longer it is,...
The Virtues of Independence
Cambridge Investment Research, Inc. takes pride in being an independent broker/dealer. While other firms have sold out to huge financial services firms like AIG and...