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Financial Advisor
October 2008
Tracey Longo |
Unwanted Scrutiny One of the quickest ways to get regulators' attention these days is to single out retirees and seniors in your advisory firm's marketing initiatives.   |
Financial Advisor
September 2005
Tracey Longo |
When Seniors Sell Their Homes Seniors, who often owe little or nothing on their homes, are reaping the rewards of the hot real estate market |
On Wall Street
November 1, 2012 |
Five Questions with Don Blandin The president and CEO of Investor Protection Trust discusses issues facing seniors and the special problems for which advisors should watch, including protecting them against fraud. |
Financial Planning
September 1, 2013
Samantha Allen |
Longer Lives, Higher Costs: Is Your Firm Ready? As boomer clients head into their 70s and beyond, advisors must become geriatric specialists to handle a complex set of new demands. |
Investment Advisor
October 2007
Melanie Waddell |
Helping the Most Vulnerable Retirees Lawmakers, the Securities and Exchange Commission, and state regulators are bent on making sure advisors with designations touting expertise when it comes to helping seniors, the most vulnerable retirees, are closely scrutinized. |
Financial Advisor
October 2007
Tracey Longo |
Capitalizing on Boomers' Next Big Move For financial advisors, turning a blind eye to retiring clients' penchant for their next new home is an opportunity lost. |
Investment Advisor
May 1, 2011
Janet Levaux |
Securities America Denies Charges of Departing Reps Anonymous sources insist advisors are leaving or planning to leave the firm |
On Wall Street
December 1, 2011
Michelle Lodge |
Five Questions With Laura Carstensen What do advisors need to say to their clients, especially their older clients, about fraud? |
Registered Rep.
May 1, 2006
Anne Field |
Staying On Top of It While the market is reaching levels not seen in years, financial advisors have much to be wary about given the steady drumbeat of corporate scandals and complaints. |
Registered Rep.
April 1, 2008
John Churchill |
The Failure Chain Consider the curious and rather grotesque case of Gary J. Gross, a financial advisor from Boca Raton, Fla. Gross' U4 is close to 100 pages long, and lists 35 customer complaints. |
Registered Rep.
August 30, 2011
Amy Burroughs |
When Your Client Has Alzheimer's One early sign of the disease is trouble managing money, which puts financial advisors on the front lines. |
Financial Advisor
April 2005
Tracey Longo |
How Boomers Will Change Your Firm What will your financial advisory firm look like in 2015? With about 75 million baby boomers retiring, different than than it does now. |
Financial Advisor
September 2008
Tracey Longo |
Laws Of Attraction A firm's ability to navigate trusts can be their calling-card to attract high-net-worth clients. |
Investment Advisor
November 2006
Chris Blunt |
Advisors: Natural Facilitators Generations welcome advisors' help in tackling wealth transfer talks. |
Financial Advisor
September 2006
Tracey Longo |
There For The Asking? Some agree banks' loss of investors' trust assets is a financial advisor's gain. Now, for that marketing plan. |
Registered Rep.
January 1, 2007
Nancy Opiela |
Love, Life...Insurance In general, life and health insurance are subjects financial advisors discuss reluctantly and infrequently. But they're tools that are essential to wealth management. |
On Wall Street
October 1, 2010
Chris Kentouris |
Finra Wants More Details When Someone Gets Canned Advisors, take note: FINRA wants broker-dealers to provide more detail on the reasons for dismissing an employee in reports to the regulator. |
Registered Rep.
June 4, 2012
Lauren Barack |
The Fishbowl Effect As financial advisor ratings websites like BrightScope and Advice IQ proliferate, advisors are going to have to get comfortable with having their records a click away from clients and prospects. |
Investment Advisor
January 2007
Bob Clark |
The Trust Threat Financial advisors need to rethink adding trust services to their offerings. |
Registered Rep.
August 29, 2014
Diana Britton |
One Strike, You're Out When it comes to the world of independent broker/dealers, the Financial Industry Regulatory Authority is cracking down. Its stated 2014 priority is to focus its regulatory firepower on "high-risk" brokers. |
Financial Advisor
March 2012
Eric Rasmussen |
Swimming In Shallow Water Broker-dealers face a stagnant rep pool, shrinking margins and the choke hold of regulators. But it's been a boon to the biggest consolidators. |
Financial Planning
August 1, 2012
Mason Braswell et al. |
Hot Topics SEC Appoints New Head of Advisor Examination Program... Managers Turn Attention to Alternatives... Investing in Treasures: Profit or Pleasure?... Some Men Stressed by Spouse's Financial Decision-Making... etc. |
On Wall Street
September 1, 2008
McMorris |
Taking Responsibility in Turbulent Times Accountability has quickly become the watchword of Wall Street these days. |
The Motley Fool
December 1, 2009
Susan Antilla |
Is Everybody Losing It in Finance's Nervous Breakdown? The evidence says yes. The wackiness on Wall Street and in Washington has, unsurprisingly, infected the nation's regulators. |
Investment Advisor
June 2009
James J. Green |
Best of Times, Worst of Times Securities America and Capital Analysts have responded to the financial crisis in quite different ways. But they're also quite similar in how they're proactively changing their business models to help reps and the home office thrive |
On Wall Street
March 1, 2011
Lorie Konish |
All-Public Panels Approved For Arbitrations The move may be hailed by investor groups, but other industry experts are criticizing the Securities and Exchange Commission's recent approval of a rule change that allows for the option of all-public panels in FINRA arbitrations. |
Registered Rep.
June 27, 2011
Diana Britton |
The Good, the Bad and the Ugly It seems like every week, another independent broker/dealer goes under or up for sale because of a bad private placement or other problematic alternative investments. All that turmoil has left a pool of advisors out in the cold, looking for new firms to call home. |
Investment Advisor
October 2006
Chris Blunt |
Advancing the Conversation Advisors' role in helping clients and heirs address end-of-life issues -- Behind the Numbers: 72% of parents said they would encourage their own financial advisor to discuss... etc. |
The Motley Fool
August 31, 2006
Dan Caplinger |
Managing Mom's Money How to help when a parent is no longer able to manage financial matters. |
Financial Planning
December 1, 2006
Jane Worthington |
Compliance Tips As a financial services professional, you should welcome questions from seniors and be prepared to answer them, no matter how basic. |
Investment Advisor
June 2009
Marlene Y. Satter |
A Cautionary Tale Proving the cost basis of annuities can be difficult for advisors if the insurance company is split up, sold, or acquired. |
On Wall Street
September 1, 2010
Alan J. Foxman |
Ponzi Schemes And Problems Paying Fines Q&A: What does it mean for advisors that records are now available to the general public online?... How will arbitration payments I must make but cannot afford right now affect my license?... more... |
Financial Advisor
May 2009
David J. Drucker |
Crisis Intervention Broker/Dealers unveil new programs to help advisors survive the recession. |
Financial Planning
August 1, 2008
John J Bowen Jr |
Wide-Angle Lens Too many advisors focus almost exclusively on their clients' investments and ignore a number of other important areas. |
On Wall Street
January 1, 2013
Elizabeth Wine |
10 Power Players for 2013 On Wall Street profiles the most influential personalities in the advisory industry this year. |
On Wall Street
July 1, 2009
Helen Kearney |
The 'F' Word Stirs Up Controversy Advisors who fall under the new fiduciary standard, namely investment advisors who run a fee-based business, must always put clients' interests before of their own. |
Financial Planning
February 1, 2008
Marianne Czernin |
Compliance In effect now are stricter requirements to protect investors age 65 and over. Advisors, read on to see which areas you need to be vigilant in. |
Financial Planning
February 1, 2013 |
Women Advisors Forum: Smartest Practice Tips Women Advisors Forum: Smart Practice Tips. Get great advice and networking opportunities, too. |
Investment Advisor
June 2010
Melanie Waddell |
FINRA's Ketchum Sees a Fiduciary Future for B/Ds Inappropriate sales of VAs to seniors at top of FINRA regulatory radar. |
Investment Advisor
August 2006
Susan L. Hirshman |
The Wealth Advisor: Lessons From the Best With a targeted client plan consisting of an integrated approach for client segmentation, actively pursuing referrals, and furthering meaningful client contact, financial advisors will be on their way to meeting their clients' financial needs. |
Financial Advisor
August 2, 2010 |
Frontline News Advisor News: Gulf of Uncertainty... Small Broker-Dealer Market Shrinking... FINRA Issued More Fines, Disciplinary Actions in '09... Advisors Expect Revenue Rise In '10... Annuities Could Gain Traction In 401(k) Plans... |
Registered Rep.
April 15, 2015
Megan Leonhardt |
Regulators Concerned B/Ds Recommending Unsuitable Products to Seniors With seniors more dependent than ever on their investments for retirement, regulators have found a number of broker/dealers may have recommended unsuitable products and not adequately disclosed risks. |
Registered Rep.
June 19, 2012
Diana Britton |
Whose Suitability Standards? In early 2011, the SEC completed a study, mandated under Dodd-Frank reform legislation, which recommended extending to brokers who advise retail clients the same fiduciary standard that now applies to investment advisors. |
Investment Advisor
October 2010
John Sullivan |
Tom Bradley's Vision for the Future The head of TD Ameritrade Institutional looks back on 25 years with the company, and speaks frankly about the keys for future advisor success |
Financial Advisor
June 2008
Tracey Longo |
Swimming Upstream California investment advisor John Threlkeld has been working diligently to serve wealthier and wealthier investors, even purchasing two other advisors' practices and turning all but his top clients over to a junior planner. |
Financial Advisor
November 2010
Joni Youngwirth |
Out Of Balance Should our industry take proactive steps to increase its number of women? |
Financial Advisor
June 2009
Sherri Scordo |
Frontline News A consortium of leading financial advisory trade organizations is calling for a professional standards-setting oversight board to establish financial planning standards for the industry. |
Financial Planning
October 1, 2010
Brian Hamburger |
Regulation Season A look forward at the real effects of regulatory change - and they could be as unattractive as they are expensive. |
Registered Rep.
April 1, 2006
Gresham & Gresham |
The Rewards of Risk Review One thing that everyone should agree on is the need to take a good hard look at the risks a financial advisor can help clients deal with financially, from the risk of having to pay damages in a lawsuit to the risk of outliving their resources. |
Financial Planning
March 1, 2008
Stacy Schultz |
5 Questions with Melaine Kimmel Five questions about Kaplan Financial, which provides education and compliance solutions for financial professionals, advisors, agents, registered reps, and their supervisors. |
