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Registered Rep.
February 15, 2012
Jerry Gleeson |
RIA Rising: Author, Planner Carl Richards Trades Practice for Educator Role at Buckingham In addition to his careers as a writer and financial planner, Carl Richards is adding a new position: "chief storyteller," as he puts it. With the kind of story he has to tell, it's a title that works.   |
Registered Rep.
February 1, 2013
Diana Britton |
The Behavior Gap Lives On Many advisors struggle with finding the right asset managers and the right investments to help their clients beat the markets. |
Registered Rep.
September 13, 2004
John Churchill |
A Broker or An Advisor? A hot topic among the financial planning community as financial planners continue to try to define and bolster themselves as a profession: fiduciary status. Of particular concern is the "broker-dealer exemption rule" to the Investment Advisers Act of 1940. |
Investment Advisor
August 2010
Olivia Mellan |
Where Direction$ Is Headed Trailblazers Peg Downey, Eleanor Blayney, and Elizabeth Jetton want to change the atmosphere and conversation to "get women into the room" for financial planning. Through their new venture, Direction$, these activities are in the works. |
Financial Advisor
August 2009
Karen DeMasters |
The Talking Cure The CFP Board has a new consumer advocate and public face: Eleanor Blayney. |
Financial Advisor
September 2012
Jeff Schlegel |
Not Making The Grade Financial advisors aren't as fiduciary as they should be, a new survey finds. |
Investment Advisor
May 2007
Kathleen M. McBride |
Exemption Vacation "To be, or not to be?" a fiduciary is the question of the hour for broker/dealers. |
Financial Planning
January 1, 2007 |
Movers & Shakers 2007 These eight leaders are shaping the future of the financial planning industry. Ben Coombs, industry founder and founder of Petra Financial Advisors... Aaron Coates, partner, CIO, CCO, Compass Wealth Advisors... etc. |
Investment Advisor
March 1, 2011
John Sullivan |
Being Rick Ketchum The Financial Services Institute OneVoice conference in Phoenix in January featured FINRA head Richard "Rick" Ketchum, and the program's only major applause line came when FSI reiterated its support of FINRA as the industry's only governing SRO. |
Registered Rep.
August 25, 2010
Jerry Gleeson |
Women Investors Want More From Advisors, Report Finds A new survey by Boston Consulting Group that addressed the global wealth of women found a common complaint -- although women's cut of global wealth is growing, the service they get from financial advisors is not equal to that offered to men. |
Financial Advisor
November 2005
Tracey Longo |
The Embattled Broker Exemption Rule While advisors talk a good game about their desire to see consumers protected by meaningful regulation, the Financial Planning Association remains the sole litigant in its lawsuit against the Securities and Exchange Commission's so-called Merrill rule. |
Investment Advisor
August 2010
Olivia Mellan |
Majority Report: A New Approach to Advising Women Women are still less financially confident than men. Three visionary financial advisors, though, are changing their approach to serving women's financial needs. |
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. |
Investment Advisor
August 2008 |
Group Think Centre for Fiduciary Excellence enhances its investment advisor certification program... FPA forms a new panel to "identify the best practices for the financial planning profession under the new CFP fiduciary standard"... EDHEC Risk and Asset Management Research Centre adds new members... |
Investment Advisor
September 2010
Melanie Waddell |
The Playing Field: The Dodd-Frank Reform Bill Afterlife A fiduciary standard for all may crimp RIAs' competitive edge. |
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. |
