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Financial Planning November 1, 2009 Marion Asnes	Bookshelf In The History of Financial Planning, Brandon and Welch describe planning as a pursuit that rapidly evolved into an intellectual and business discipline full of vitality and idealism.
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 Planning March 1, 2007 Elizabeth O'Brien	Clearly, Competition LPL's clearing deal with AXA Advisors prompts questions about recruitment among independent broker-dealers.
Investment Advisor August 2007	Group Think The Financial Planning Association named E. Denby Brandon as the recipient of the 2007 P. Kemp Fain Jr. Award... The CFP Board has invited the public to attend a free Financial Planning Clinic... etc.
Financial Planning July 1, 2013 Scott Wenger	FPA's Michael Branham: Succession on His Mind The FPA s president says advisors of all ages should be thinking about the next chapter of their careers.
Registered Rep. August 1, 2006 Halah Touryalai	Blotter Wachovia Self-Dealing Suit... Merrill Fined for Firing Rep... LPL: On the Prowl?...
Investment Advisor October 2007 James J. Green	A Robust FPA Celebrates Fresh from Senate testimony, FPA President Nicholas Nicolette stresses fiduciary duty, and the vigor of the Financial Planning Association.
Financial Advisor November 2012 Karen DeMasters	FPA Membership Slide Stabilizes A free fall in the Financial Planning Association's membership over the last few years has stabilized, and the organization's new leaders say they're hopeful a turnaround is in the offing.
Investment Advisor September 2007 James E. Kearney	No Rest for the Planning Industry It's important for the profession to take a three-pronged approach to financial literacy: advancing the profession; educating the public; and growing planners for the future.
Financial Planning November 1, 2009 Paul Menchaca	LPL: "We've Arrived" Twenty years after the San Diego-based company was formed through the merger of Linsco and Private Ledger, LPL appears to have lapped its rivals, leaving nothing in its rearview mirror.
Financial Planning February 1, 2008 Marion Asnes	Editor's Letter The editor speaks out against proposed regulation changes in the Registered Independent Advisory industry.
Financial Advisor November 2003 Evan Simonoff	Contest For The Financial Planning Association's Soul Is the Institute of Certified Financial Planners's agenda for the new association (the product of a merger between the ICFP and the International Association for Financial Planning) winning?
Registered Rep. February 1, 2003 Will Leitch	The Acrimony Over Acronyms Faced with a full hand of acronyms to describe their various certifications and designations, brokers are showing them off, confusing clients. For this reason, the notion of a universal designation -- akin to the CPA in the accounting profession -- is gaining momentum.
Registered Rep. June 7, 2010 Halah Touryalai	LPL To Go Public. At What Valuation? It's the moment LPL Financial (and much of the broker/dealer world) has been anticipating for at least the last five years. The independent channel's largest b/d filed forms S-1 with the SEC on Friday, signifying its intent to float shares to the public.
Financial Planning June 1, 2005 Harold Evensky	The New 'F' Word A new group would irrefutably link the concept of "fiduciary" to financial advice.
Financial Advisor March 2011 Evan Simonoff	Challenges Confront FPA Editor's Note: Like many associations, the FPA is not doomed, but it needs to rethink its value proposition.
Financial Advisor February 2007 Roy Dilberto	Establishing Trust In Financial Planning For large wirehouses, they need to understand that business is not leaving them and being transferred to independent advisors because of the fee structure. It is because most of these people are registered as investment advisors and follow the spirit as well as the letter of the fiduciary relationship.
Registered Rep. November 26, 2012 Mindy Diamond	Advisors Sober Up For 2013 While the trend toward independence slowed a bit from previous years, 2012 was the year the independent channel legitimized its place next to the more traditional players.
Investment Advisor November 2006 Angela Herbers	Operation Ownership One of the major failings of the independent advisory industry has been the reluctance of advisors with established practices to extend ownership to junior professionals who helped them attain their success.
Registered Rep. September 10, 2007 Kristen French	FPA Helps Firms Comply With B/d Exemption Ruling The Financial Planning Association is making an effort to help brokerage firms and their advisors comply with the D.C. Court of Appeals ruling that killed the broker/dealer exemption and fee-based brokerage accounts.
Registered Rep. November 14, 2008	Update: 6,200 Merrill FAs Sign BofA Retention At Deadline Merrill says that only about half of the firm's nearly 17,000 advisors were eligible in the first place, and that they are responsible for about 75 percent of the firm's production.
Financial Planning December 1, 2005 Bob Hirschfeld	Behind LPL's Big Deal Does the largest broker-dealer's sale to investors mean that acquisitions or an IPO are in the offing?
Registered Rep. March 16, 2012 Kristen French	Due Diligence: Merrill Cost-Cutting Centers on Client Segmentation, Less Bureacracy Merrill Lynch financial advisors can expect Bank of America cost-cutting to take the form of greater client segmentation and reduced bureaucracy, said John Thiel of Merrill Lynch
Registered Rep. April 20, 2010 Kristen French	Merrill Won't Seek Growth Through Top Tier Advisor Hires Merrill Lynch plans to grow primarily by investing in current advisors and hiring rookies, said Merrill Lynch president of Global Wealth and Investment Management Sallie Krawcheck on Tuesday.
Financial Planning November 1, 2008 Stacy Schultz	Going Indy After two years of toying with the idea, a team of UBS advisors decided it was time they took going independent seriously -- very seriously.
Registered Rep. October 28, 2015	Merrill Lynch: A Simple and Streamlined Approach Merrill Lynch designed Merrill Lynch One, a multi-year, $100 million project that brought together five disparate money management platforms, each with their own fee structure, enrollment process and website.
Registered Rep. August 13, 2007 Halah Touryalai	Merrill Grabs Advisors Producing $5.5 million From Rival UBS Merrill Lynch won big last week in the aggressive industry-wide recruiting war for top advisors.
Financial Advisor December 2003 Raymond Fazzi	Planners Urged To Raise The Bar The Financial Planning Association's conference focuses on responsibility, education and teamwork.
Registered Rep. November 18, 2010 Jerry Gleeson	LPL IPO Clicks with Investors CNBC star Jim Cramer may not have liked the valuation of the LPL Investment Holdings IPO, but investors sure did.
Registered Rep. October 4, 2007 Halah Touryalai	India, China...Mars? McCann Talks Globalization McCann, president of Merrill Lynch's Global Private Client Group, was this year's keynote speaker at SIFMA's 30th annual Sales and Marketing conference.
Investment Advisor June 2010 James J. Green	FPA, Coalition for Financial Planning Remain Upbeat Despite uncertainty over fiduciary standard, optimism reigns within planner groups.
Financial Advisor June 2007 Sherri Scordo	Financial Advisor's 2007 Broker-Dealer Guide Top independent broker-dealers ranked by gross revenue: LPL... AIG Advisors Group... ING Advisors Network... etc.
Registered Rep. December 27, 2005 Stan Luxenberg	Merrill Funds To Change Name In the latest move, the Wall Street giant announced that it intends to change the name of Merrill Lynch Investment Management's funds to -- well, that has yet to be determined and won't be until sometime in early 2006.
Registered Rep. July 18, 2007 Kevin Burke	Merrill Reports Strong Revenues, Adds 270 Advisors Merrill Lynch's retail brokerage arm turns in another strong quarter, as fee-based revenue continued to climb to record levels.
Investment Advisor August 2005 James A. Barnash	Train the Young, Build an Industry The Financial Planning Association's president argues for more mentorship in the industry.
Registered Rep. May 2, 2007 Kevin Burke	It's Not About the Money The firms that have the highest number of satisfied financial advisors aren't necessarily the ones with the highest-paid financial advisors. Industry experts say that what really drives advisors to jump is friction with a supervisor.
Registered Rep. April 13, 2004 David A. Gaffen	Merrill Reports Record Quarter Merrill Lynch reported earnings of $1.3 billion for the first quarter of 2004, a 95 percent increase from the same period a year ago.
Registered Rep. May 2, 2006 Kevin Burke	Merrill's Japanese Venture Opens Its Doors...Again Merrill Lynch teamed with Japan's Mitsubishi UFJ Financial Group, armed with 150 financial advisors, in attempt to change the island nation's reputation as a society of savers -- a people who prefer to keep cash stowed away in low-interest bearing savings accounts.
Investment Advisor May 2007 Bob Clark	We Win, Sort Of How the FPA can make the most out of its upset victory over the SEC.
On Wall Street December 1, 2009 Pat Olsen	Bill Morrissey Bill Morrissey, of LPL Financial, talks about his 23 years in the securities business.
Registered Rep. April 29, 2005 John Churchill	FPA Sues to Stop Broker-Dealer Exemption The Financial Planning Association believes that the SEC rule which allows registered reps to call themselves financial advisors is contrary to law and encourages broker-dealers to engage in self-dealing with their clients without disclosing their conflicts of interest.
Investment Advisor June 2008 Kara P. Stapleton	Power of the Platform LPL will build a custodial offering for its own -- and outside -- RIAs.
Registered Rep. September 15, 2008 Kristen French	Merrill Lynch Sells Itself To Bank of America: Update 3 The biggest question, now that BofA has agreed to buy Merrill Lynch, is what Bank of America will do to hold onto Merrill Lynch's dearest asset -- its approximately 17,000 financial advisors.
Financial Planning January 1, 2009 Bierck & Schultz	Movers and Shakers 2009 Change, both evolutionary and revolutionary, is the main theme on the 2009 financial industries calendar. Read this publication's choices for the movers and shakers of 2009.
Registered Rep. April 15, 2009 Kristen French	Bank of America Launches Client Referral Program It's one of several referral programs the bank is putting together as part of its integration with Merrill Lynch, including one that would offer leads from the commercial banking division to certain Merrill Lynch advisors.
Investment Advisor May 2006	Making the Future Happen The 25 most influential people in and around the investment advisory profession: Ron Roge... Dick Averitt... Tony Batman... Ben Bernanke... etc.
Registered Rep. June 4, 2009 John Churchill	Merrill Lynch's Dan Sontag Out? Salaried Merrill Brokers? Not so Fast According to a story posted yesterday on Clusterstock.com, a financial blog, Dan Sontag, head of Merrill Lynch's global wealth and investment management unit, is about to be pink-slipped.
Financial Planning December 1, 2012 Bob Veres	Defining 'Real' Planning: Who Are The Real Financial Planners? If you re not doing the hard work of developing detailed plans for your clients, maybe you need a new job description.
On Wall Street April 1, 2010 Howard J. Stock	Back Office Move Has Advisors Up In Arms -- Some Bolt Questions surround what will happen to BAI clients when Merrill moves their accounts from National Financial to Merrill Lynch.
Registered Rep. February 7, 2012 Diana Britton	LPL Posts Record Revenue For Year, Despite Volatility While other firms suffered in the fourth quarter on slow client activity, LPL Financial announced earnings today of $39.4 million for the quarter, up $156 million from a net loss of $116.6 million in the fourth quarter 2010.