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.
NAIFA: Keep 12b-1 Fees
By Steven BrostoffNU Online News Service, May 12, 2004, 5:39 p.m. EDT, Washington -- Paying fees to registered representatives for ongoing service to clients is a ...
May 01, 2004
John SmarttJohn M. Smartt, Jr., CPA 2001 Partridge Run Lane Knoxville, Tennessee 37919 Phone and fax: 865-588-4159 [email protected] Year practice began: 1993 Number of advisors in office: 1 Number of clients: 47...
May 01, 2004
Rollin' AlongPlanners who are contemplating a switch from commissions to fees tend to sound like people about to start a strict new diet: This will probably...
April 08, 2004
AALU Has Concerns Over Senate BillsByWashingtonA new deferred compensation proposal would maintain the current industry-supported moratorium on Treasury Department guidance on nonqualified deferred compensation, but still raises concerns, says Bob ...
March 24, 2004
Benchmark for Industry Pay SoughtNAPERVILLE, Ill. (HedgeWorld.com)--Executive search firm HQ Search Inc. unveiled a survey of hedge fund industry executives and firms with the goal of creating a benchmark...
February 01, 2004
Mark Gajowski1717 Capital Management 555 Washington Ave. Brentwood, New York 11717 631-231-4001, ext. 1256 [email protected] Age: 28 Education: B.S., finance, Dowling College (New York), 1997 Entered financial services industry: 1992 (part-time), 1997 (full-time) Number...
February 01, 2004
Bank On ItI don't know about you, but it troubles me that advisors who would rather get an anesthesia-free root canal than work for a bank get...
January 06, 2004
Pru Renews GatesMcDonald AllianceNU Online News Service, Jan. 6, 2004, 2:34 p.m. EST -- Prudential Insurance Company of America, Newark, N.J., has agreed to use Gates McDonald ...