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Investment Advisor
December 2009 |
GroupThink News from the Financial Planning Associate (FPA), the Investment Company Institute (ICI), and the Securities Industry and Financial Markets Association (SIFMA).   |
Investment Advisor
February 2009
Kara P. Stapleton |
Group Think The Certified Financial Planner Board of Standards releases proposed revisions to its Disciplinary Rules and Procedures... Financial Services Institute's Board elects Eric Schwartz chair... FPA Board of Directors approved creation of Diversity Scholarship Program for FPA conferences... |
Investment Advisor
February 2007 |
February 2007 Ann Combs, former Assistant Secretary of Labor, will join Vanguard this month... The Financial Planning Association's chairman, James Barnash, announced plans to leave his post... etc. |
Registered Rep.
October 22, 2003
Will Leitch |
Hard Words from Tom James for After-Hours Traders Investors angry about mounting evidence of mutual fund trading irregularities have nothing on Raymond James chairman and CEO Tom James. "It's fraud, plain and simple," James says of the after-hours and market-timing trading practices exposed in investigations by Eliot Spitzer. |
Financial Planning
May 1, 2010
Marion Asnes |
40 Years of Tom James When Tom James became CEO of Raymond James in 1970, the Dow Jones Industrial Average was in the low 800s. He's had quite a ride. |
Registered Rep.
April 2, 2013 |
60 Seconds with Chet Helck Chet Helck is Chair of the Securities Industry and Financial Markets Association, and CEO of the Global Private Client Group at Raymond James Financial. |
Registered Rep.
November 16, 2007 |
FPA Elects New President The Financial Planning Association also six new members to its Board of Directors. |
Investment Advisor
June 2010
James J. Green |
Long-Term Progress Reported by Financial Planning Coalition Coalition has met with staff of all 23 members of Senate Banking Committee. |
Financial Planning
January 1, 2006 |
On the Job Fiserv Investment Support Services has appointed Vice President Sean Gultig head of its Advisor Services area... National Planning Holdings has appointed chief compliance officers to three of its network firms... etc. |
Financial Advisor
December 2005 |
Frontline News Fee-Only Practices Are The Most Profitable... FOLIOfn Subsidiary Launches Proxy Compliance Service... Advisors Got Wealthier, And Happier, In 2004, Says Survey... FPA Names Nicolette 2006 President-Elect... etc. |
Registered Rep.
July 24, 2009
Christina Mucciolo |
Raymond James Q3 Earnings Down But Retail FA Recruiting A Bright Spot Raymond James is experiencing a rush of interest from apparently disgruntled wirehouse advisors. |
Investment Advisor
May 2007
Melanie Waddell |
CFP Board Is on Its Way to Washington Feeling an urgency to assert itself more strongly among policymakers and regulators, the CFP Board is moving its business operations from Denver to Washington, D.C. |
Investment Advisor
April 2007
Robert F. Keane |
CFP Standards Revision A new draft addresses previous critiques and imposes a fiduciary standard for advice. |
Financial Planning
October 30, 2006
Elizabeth O'Brien |
Testing the Glass Ceiling Women are working to raise their numbers -- and their profile -- in financial planning. |
Registered Rep.
April 21, 2011
Diana Britton |
Raymond James Adds Assets, Loses Advisors Raymond James Financial's Private Client Group led the firm's growth in the second quarter. |
Investment Advisor
November 2007
James J. Green |
Catching up with... Chet Helck In this interview, Chet Helck, president and COO of Raymond James Financial, talks about recruiting the best people. |
Investment Advisor
March 2009
Kara P. Stapleton |
Group Think News about the FPA, American College, CFP Board, and IMCA. |
Registered Rep.
October 23, 2006
John Churchill |
Opulence (and a Wee Bit of Strife) at FPA Confab in Nashville Education and networking were on order at the recent annual Financial Planning Association conference. |
Financial Advisor
May 2007 |
Frontline News Don't Party Like It's 1999... CFP Board Moving Headquarters... Advisors Settle Multimillion Lawsuits... FPA's New Fiduciary Standard For All Planners... Mesirow Advisors Become RIAs... |
Investment Advisor
December 2006
Kara Stapleton |
Briefs The Financial Planning Association endorsed a proposed rule... The CFP Board voted to approve changes to its governance policy... |
Investment Advisor
December 2006
Dan Moisand |
Accentuate the Positive The president of the Financial Planning Association points out some positive things done by the CFP Board. |
