Research Magazine-December 2006

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  • Survival Secret

    Bill Good

    Let's assume you have good investing skills. You didn't get shorted when they passed out personality. Your prospecting and selling skills are right up there....

  • 3 Reps Get $3 Million in NASD Case

    Janet Levaux

    Upon leaving Merrill Lynch in 2003, three advisors say they joined Banc of America Investment Services -- and moved with their families from the Cleveland...

  • China: To Be Bullish or Not...

    Staff Writer

    Not only does China dominate Asia in terms of sheer size, but it's the world's leading producer of textiles and manufactured goods. Thanks to its...

  • 2006 Advisor Hall of Fame

    Ellen Uzelac

    Welcome to Research magazine's Advisor Hall of Fame, now in its 16th year. This eagerly anticipated annual feature has become a benchmark of excellence in...

  • Holiday Cheer

    Bill Miller

    If you're like most advisors, your mailbox is already starting to bulge with holiday cards wishing you and yours a happy holiday season. (In the...

  • PowerShares Captures the Qubes

    Staff Writer

    Nasdaq Global Funds (a subsidiary of the Nasdaq Stock Market) has agreed to transfer sponsorship of the Nasdaq-100 ETF (Nasdaq: QQQQ), Nasdaq-100 European Tracker (EQQQ)...

  • 'DWS Scudder's Dr. Bob Outlines His Latest Bets

    Janet Levaux

    (Phoenix) How does the chairman of DWS Scudder's Investor Strategy Committee feel about the market's short-term potential? Robert Froehlich, aka Dr. Bob, forecasts the market...

  • Six Inspirational Advisors

    Robert Tyndall

    One characteristic that distinguishes the best financial advisors, or the best in any profession, is that they are never satisfied with themselves; they know they...

  • More Funds Make Move to NYSE

    Staff Writer

    A second group of iShares ETFs made the move from the American Stock Exchange to the NYSE Arca exchange, a subsidiary of the NYSE Group,...

  • Are You a Spider or a Starfish?

    Mary Scott

    "If you cut off a spider's leg, it's crippled; if you cut off its head, it dies. But if you cut off a starfish's leg,...

  • ETFs Reach for Share of 401k Market

    Staff Writer

    Portland, Ore.-based retirement plan manager Invest n Retire recently made the developing trend of ETFs popping up in more and more employer-sponsored retirement plans the...

  • Van Eck Launches Sector Funds

    Staff Writer

    From trash collection to steel production, exchange-traded funds (ETFs) have it covered, thanks to two specialized sector funds from Van Eck Associates. Van Eck's Market Vectors...

  • Roiled By Oil

    Alexei Bayer

    Conventional wisdom suggests that oil prices increased eightfold, from less than $10 per barrel in 1999 to a peak of $77 per barrel in mid-2006,...

  • The Road Ahead

    Robert Scott Martin

    Research: What's facing the FSI and the industry in 2007 and beyond? Simmers: The No. 1 challenge -- from the Financial Services Institute's point of view...

  • Scott Hanson

    Ellen Uzelac

    Co-founder and Senior Advisor Hanson McClain Inc., Securities America Career Began: 1990 Home Base: Sacramento, Calif. Civic Affiliations: River Oak Center for Children, Child Abuse Prevention Council, Sacramento Regional...

  • Commonwealth Aims for Controlled Growth

    Janet Levaux

    (Phoenix) Commonwealth Financial Network wants to maintain its identity despite some serious expansion, say executives attending the broker-dealer's recent national conference, held Oct. 26-30 at...

  • Malcolm A. Makin

    Ellen Uzelac

    Founder, Professional Planning Group Raymond James Financial Services Career Began: 1974 Home Base: Westerly, R.I. Civic Affiliations: Ocean Community YMCA, Westerly Hospital, American Seniors Golf Association ----- At the start of...

  • Shifting Tides

    David J. Drucker

    In Research's June 2006 issue, the article "Going Independent" taught us that the financial services industry continues to attract new entrants. The industry segment showing...

  • Gena Harper and Carla Koren

    Ellen Uzelac

    Senior Vice Presidents, Smith Barney Careers Began: 1985 Home Base: Berkeley, Calif. Harper's Civic Affiliations: Glaucoma Research Foundation, Guide Dogs for the Blind, Downtown Berkeley YMCA Koren's Civic Affiliations:...

  • Research Roundtable

    Jane Wollman Rusoff

    Mr. Market, wont to wearing his heart on his sleeve, reacts, reflects -- and anticipates. Marching always to its own drummer, the market in 2007...

  • Enrich Through Your Niche

    Patricia J. Abram

    At a recent coaching event an advisor from a Western state looked me in the eye and smiled as he introduced himself. "I want to...

  • The Marketing Imperative

    Staff Writer

    What we now call "marketing" began long before the name was coined. In the mid-1800s, traveling salesmen dressed "snake oil" and other tonics in fancy...

  • Treating Reps as Friends

    Alexei Bayer

    This being my first time in Atlanta, I'm at the mercy of my host as far as lunch is concerned. Fortunately, Joby Gruber is a...

  • David A. Mallach

    Ellen Uzelac

    Senior Vice President of Investments, Merrill Lynch Career Began: 1973 Home Base: Elkins Park, Pa. Civic Affiliations: Mallach House in Botswana, David Mallach Music Scholarship at Troy University ----- What...

  • Thomas J. Curran

    Ellen Uzelac

    President, Curran Investment Management Curran Advisory Services Career Began: 1969 Home Base: Albany, N.Y. Civic Affiliations: Wildwood Foundation, Mid-Atlantic Center for the Arts, East Lynne Theater Co. --- At an age...

  • Protecting More Than Pensions

    Marie Swift

    Like a snowball rolling downhill, reasons for Congress to clarify and strengthen the U.S. retirement system have been accumulating for the past decade. Along with...

  • Industry Spotlight: Consumer Sectors

    Staff Writer

    The share prices of some consumer-focused companies could improve in 2007, thanks to rising sales, improving margins and external factors, equity analysts say. ----- Terry Bivens Bear Stearns 212-272-6782 tbivens@bear.com Area...

  • Smith Barney Advisors Under Pressure

    Janet Levaux

    Smith Barney insists it retained more than 80 percent of Legg Mason reps acquired last year through Citigroup's purchase of Legg Mason's retail operations. This...

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