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.
Cure for the summertime sales blues
By Dan HudsonTake these actions today to ensure a strong sales finish to 2011 and a strong start in 2012.
August 04, 2011
UBS Grabs 4 Merrill Advisors in California, FloridaThe FAs have total yearly production of $2.1 million and assets of $800 million
August 01, 2011
Many Top Foundations Pay Board MembersAt a time when nonprofits are struggling to raise money from government and private sources, the practice of some private foundations to compensate trustees is drawing scrutiny.
June 30, 2011
J.D. Power: Self-Directed Investors Rate USAA Best; Overall Satisfaction LowerInvestors who do their own trading and investing say the fees and trading charges they must pay less acceptable than they did in 2010, according to a J.D. Power survey released Thursday. USAA ranked No. 1.
June 01, 2011
Who’s Responsible?Recently, an advisor called me for help. He said his employees weren’t motivated, and he needed a better compensation program to improve the situation.…
May 31, 2011
Nationwide CFO Takes on Executive Comp RegsNationwide Mutual Insurance Company has asked federal financial services regulators to exclude insurers with small thrifts from proposed compensation limits.
May 31, 2011
Nationwide CFO Takes on Executive Comp RegsNationwide Mutual Insurance Company has asked federal financial services regulators to exclude insurers with small thrifts from proposed compensation limits.
May 31, 2011
No-Load Share Classes Without 12b-1 Fees Tops in Mutual Fund Sales: Strategic InsightNo-load share classes, particularly those without 12b-1 fees, have become "the single most important share class in mutual fund sales through intermediaries," according to a new study by Strategic Insight (SI).