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On Wall Street
July 1, 2010
Frances A. McMorris |
Confusion Reigns Among Wirehouse Advisors On The Fiduciary Issue With all the frenzy over the call for a universal fiduciary standard for all financial and investment advisors, it appears that those in the wirehouses don't really understand the debate.   |
Registered Rep.
August 1, 2008
John Churchill |
Talk to Me According to AARP, Baby Boomers think financial advisors use too much jargon, and that to mislead is your intent. |
Financial Advisor
May 2012
Michael J. Mcdermott |
Day Of Reckoning Fee-based advisors should benefit when 401(k) participants soon find out the cost of their plans. |
The Motley Fool
August 13, 2007
Dan Caplinger |
Don't Pay Twice for Advice There's nothing inherently wrong with paying for financial advice. But there's a big difference between paying once for a good financial plan versus paying high fees year after year, through good times and bad. |
Investment Advisor
April 2008
Norman M. Boone |
Getting Comfortable With Change Here are some communication tips for introducing change to your clients. |
Registered Rep.
July 21, 2006
Kristen French |
Advisors Not Filling High-Net-Worth Retirement Needs, Survey Says Although few high-net-worth investors are prepared for the kind of retirement they expect, advisors continue to focus on wealth accumulation at the expense of long-term financial planning. |
Financial Planning
June 1, 2008
John J Bowen Jr |
Help From My Friends Here are some of the most important issues to consider when working with a financial institution. |
Financial Planning
July 1, 2007
Marshall Eckblad |
Funds and Games Several regulatory issues are floating around the SEC. Will any of them get resolved? |
Registered Rep.
July 24, 2012
Jerry Gleeson |
Fee Disclosure - Can You Handle the Truth? New federal rules are forcing advisors to spell out what they're charging for running 401(k) plans and what their clients are getting for the money. It could lead to some difficult conversations. |
Financial Planning
July 1, 2008
Scott Schutte |
Valuing Your Services Have financial planners themselves compromised the value of the service that is the foundation of nearly all client relationships: investment management? If so, what's the solution? |
Financial Planning
May 1, 2012
John J. Bowen, Jr. |
Borrow From the Best One of the best ways to learn what it takes to succeed in our business is to look at the best practices of elite financial advisors who are enjoying tremendous success in the marketplace. |
Financial Planning
March 1, 2013
John J. Bowen, Jr. |
For Advisors, a Client-Centered Shift More advisors are shifting toward a broader approach and away from investment management. |
On Wall Street
February 1, 2010
Matthew Leung |
Improving Asset Retention- Keeping Open Dialogue Is Key The top piece of advice from branch managers: Know where all of the client's assets are located. |
The Motley Fool
June 20, 2007
Dan Caplinger |
The $12 Billion Problem It's time to stop a hidden fund fee. No one is arguing that financial professionals don't deserve to get paid for their work. But there are big problems with using 12b-1 fees to do it. |
On Wall Street
November 1, 2010
Gallant & Schneider |
Navigating The Retirement Business The demand for retirement income support will continue to grow rapidly in the coming years as the aging of the baby boom generation is inevitable. |
Registered Rep.
June 30, 2010
Christina Mucciolo |
Clients, though Mostly Satisfied, in the Dark about FA Fees, Says Study Overall advisors and investors are still confused about what the advisors' fiduciary responsibility is exactly. |
Registered Rep.
May 3, 2007
Kevin Burke |
Fund Shareholders to Advisors: We Need Ya', Big Guy If you are among the mutual-fund only caste of advisors, don't lose heart: Investors really do need your advice. |
Investment Advisor
September 2006
Mark Tibergien |
Formulas for Success: Bust of Boom? Financial advisors need to adjust their practices as baby boomer clients age. |
Financial Planning
April 1, 2011
Roddy Marino |
Paying Dividends Today's income landscape is a perfect storm for investors, but a great opportunity for advisors to reaffirm fundamental investment principles while implementing strategies to mitigate the concerns that may be holding clients back. |
Investment Advisor
August 2006
Kathleen M. McBride |
B/d Briefing: A New Regulatory Framework? In a move that may be the opening salvo in a fight for unified investor protection rules, the SEC is seeking information from potential contractors to conduct a study about how investments and advice are marketed to individual investors. |
On Wall Street
August 1, 2012
E. Thomas Foster Jr. |
Reviewing Retirement Plans Can Reduce Risk In the retirement plans marketplace financial advisors can provide tremendous value for business owners by reviewing the inner workings of 401(k)s and other defined contribution retirement plans for potential risks and overall effectiveness. |
Financial Planning
October 1, 2013
Bob Veres |
Wish List: 27 Changes That Would Help Advisors In which we make a few modest requests for the health of the profession as well as the financial services industry. |
Financial Planning
January 5, 2008
John J. Bowen Jr. |
Better Than Average Making a New Year's resolution to improve your practice? A new survey lets you benchmark your performance against the broader advisory community. |
Investment Advisor
May 2010
Melanie Waddell |
30 for 30 Interviews: Mary Schapiro SEC chairman Mary Schapiro talks about harmonizing rules for broker/dealers and advisors. |
Investment Advisor
October 2008
Angela Herbers |
One Small (Big) Step The advisory industry has taken a giant leap forward in the past year. Attendees at this year's FPA NexGen conference clearly have made progress at getting small pieces of equity in their firms. |
Investment Advisor
October 2006
Black & Bakker |
Life Support A reader survey suggests how asset managers can be true partners with investment advisors. |
Financial Planning
July 1, 2010
Marion Asnes |
Envestnet's Fiduciary Opportunity Bill Crager, president of Envestnet, is not going to wait for Washington to figure out the fate of the fiduciary standard. The way he sees it, the market has already spoken. |
Financial Advisor
April 2007
William Glasgall |
Why Marketing Works Over the years, many advisors, being analytical people at heart, have relegated marketing to a minor role behind crunching numbers for clients' financial plans and investment portfolios. Now, that attitude seems to be undergoing a long-needed change. |
Investment Advisor
September 2008
Robert F. Keane |
Far From Retired Tony Purpero thought he was headed into retirement when he returned to southern California, but instead finds himself working harder than ever to help other current and future retirees. |
Financial Planning
October 2, 2007
Jack W. Callahan |
Embrace Change Advisors have to adapt their practices to accommodate retiring clients. |
Financial Planning
April 1, 2013
John J. Bowen, Jr. |
5 Success Tips From High-Performing Advisors A new study of high-earning advisors offers 5 clear success tips. |
Financial Planning
August 1, 2013
Keith Johnson |
How Advisors Can Rebuild Trust Five years after the meltdown, advisors still face a crisis of confidence. |
Registered Rep.
May 9, 2011
Gleeson & Britton |
New SEC Disclosure Rules Dismay Some Advisors; Advisor Disciplinary Histories in Welcome Packets New SEC rules that require federally-registered advisors to disclose their disciplinary histories in brochures and provide them to clients will get under way in earnest by the end of the summer. |
Financial Planning
October 2, 2007
Elizabeth O'Brien |
Advisor Pulse A new study reveals that while 95% of all financial advisors believe they've talked about fees with their clients, only 66% of customers say their advisor has initiated a fee discussion with them. |
Investment Advisor
April 2006
Maya Ivanova |
Self Improvement In the recent supplement to the 2005 Rydex AdvisorBenchmarking Survey, many advisors recognize that simply maintaining the status quo is not enough. They're continuously examining their business plans and investment processes to look for improvements. |
Investment Advisor
April 2009
Lewis Schiff |
Danger & Opportunity: Seling Wisdom Advisors with a wealth-management practice orientation can provide the kind of services affluent families need during difficult market times. |
Financial Planning
June 1, 2010
Gregory Salsbury |
A New Conversation The market meltdown forced people to start thinking more seriously about retirement. But they're still held back by misconceptions. |
Investment Advisor
March 2008
Angela Herbers |
Words of Wisdom Keeping older professionals in the industry should be a priority. And if we don't do something to rectify this situation sooner rather than later, we face the prospect of watching the experience of a whole generation literally walk out the door. |
Financial Advisor
November 2012
Jerilyn Klein Bier |
No More Secrets New 401(k) fee disclosure rules could generate big opportunities for advisors. |
Investment Advisor
July 2008
Angela Herbers |
Learning to Listen Like many of their clients, it usually takes a few hard knocks for financial advisors to take advice |
Financial Planning
June 1, 2008
Stacy Schultz |
More Than Equal A study of the role of the female financial advisor. The research compares female to male advisors and looks at the varying performance levels of women advisors. |
Registered Rep.
October 29, 2015
Matt Oechsli |
Financial Advisors Rock This doesn't diminish a CPA's or estate attorney's expertise, but it does provide a clear signal that the affluent perceive today's financial advisor as the quarterback out of all of these financial experts. |
Financial Planning
September 1, 2012 |
Retirement Advisor Confidence Index: New Index Tracks Advisory Sector The Retirement Advisor Confidence Index is a monthly barometer of business conditions for the wealth management sector. The initial reading of 48.7% shows a modest contraction in business activity |
Investment Advisor
May 2010
Melanie Waddell |
Schapiro Speaks on Fiduciary, 12b-1s In an exclusive interview, the SEC Chairman speaks her mind. |
Financial Advisor
May 2008 |
Frontline News Clients Ticked Off At Their Advisors... Surprising Conclusions About Client Loyalty... The Keys To A More Profitable 401(k) Practice... etc. |
Investment Advisor
August 2010
Melanie Waddell |
Broker/Dealer Marketing: Finding Their Voice Broker/Dealers are waking up to the new, post-downturn marketing environment. Here are a few of the best ideas. |
Financial Planning
August 1, 2007
Marshall Eckblad |
Advisor Pulse If a new survey is to be believed, advisors who help their clients with retirement planning -- and that's most of you -- will soon face a difficult choice: Change the way you service clients or watch your profits shrink. |
Investment Advisor
January 2010
Melanie Waddell |
Retirement Planning: Retirement Income a Riddle Advisors are still searching for best method to deliver retirement income. |
Investment Advisor
February 2007
Melanie Waddell |
Clear Road Ahead Commonwealth's retirement platform, Preferred Portfolio Services Retirement Solutions, keeps financial advisors compliant with ERISA and PPA. |
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. |
