Compensation and Fees
What leading financial advisors, experts and firms are saying about compensation and fees for registered representatives (both independent and employee) and registered investment advisors.
Carolyn Kaufman
By Staff WriterPresident and CEO, Prim Advisors Director, Prim Capital Corp. BP Tower Suite 2500 200 Public Square Cleveland, Ohio 44114 Phone: 216-830-1111 Fax: 216-830-1120 Web address: www.primcapital.com E-mail: [email protected] Year practice began: 1998 (sports management company...
April 27, 2005
AALU 409A wh xmlNote: Go week: L18AALU_409A_wh Go photo: None Go graphic: Pull quote File: L18AALU_409A_wh.doc Lines: 173Washington, D.C.With the full force of a new IRS regulation ...
April 06, 2005
Fiduciaries And Fees: A PrimerByThe Employee Retirement Income Security Act holds fiduciaries of 401(k) plans responsible for protecting plan assets.To fulfill that requirement, fiduciaries must ensure that plan ...
March 31, 2005
UnumProvident Announces Comp Disclosure PolicyNU Online News Service, March 31, 2005, 4:20 p.m. ESTA major Chattanooga, Tenn., disability insurer says it will give customers detailed information about producer ...
March 23, 2005
Principal Teams With Weight WatchersNU Online News Service, March 23, 2005, 2:38 p.m. ESTA Des Moines, Iowa, insurer wants to get serious about helping health plan members lose ...
March 23, 2005
Superfund Retail Pitch: Golden Opportunity or Fee-Laden Hazard?Hoping to attract the middle class investor, Quadriga Chief Executive Christian Baha has turned to celebrities. In January, Grand Prix racing champion Niki Lauda pitched Quadriga's managed futures certificate for the German market.
February 01, 2005
Tony SturemanKrouse Kern Wealth Management, Inc. 6509 Mutual Drive Fort Wayne, Indiana 46825 260-496-8297, ext 342 [email protected] www.kkwealth.com Age: 35 Title: Manager, registered advisory representative Education: AS in electronics engineering technology, ITT Technical Institute,...
January 31, 2005
Marsh To Pay $850 Million In Compensation (Updated)A large insurance broker has negotiated a settlement that should resolve an investigation initiated by New York Attorney General Eliot Spitzer.[@@]The broker, Marsh & ...