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Investment Advisor
June 2010
Robert F. Keane |
Limitless Horizons Buoyed by partnerships with a new broker/dealer and a local community bank, and an aggressive client segmentation initiative, Harbor Lights Financial seems set for many years of smooth sailing.   |
Investment Advisor
June 2010
James J. Green |
Learn From New Jersey Jersey guys (and gals) create their own future with a mix of street-smart guile tempered by innocence and accompanied, always, by plain hard work. |
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
June 2010
Robert F. Keane |
Partners in the Community Two River Community Bank and Harbor Lights investing firm team up to handle the community's needs. |
Registered Rep.
October 29, 2013
Diana Britton |
Designation Fatigue? Fewer advisors are pursuing or holding designations this year, according to WealthManagement.com's 2013 AdvisorBenchmarking RIA Trend Report. |
Investment Advisor
June 2008
Philip Palaveev |
The New Model: The Fee-Only Broker/Dealer Independent broker/dealers must tackle head-on the causes of their frustration if they wish to survive. |
Financial Planning
August 1, 2009
Donna Mitchell |
Earnings Rebound Financial advisors are making more money, putting more emphasis on education, and shifting their compensation schemes toward fees |
Registered Rep.
February 7, 2007
Halah Touryalai |
Alphabet Soup: Massachusetts May Ban Some Advisor Designations Advisors who hold certain obscure professional designations may want to think twice about touting their alleged specialties on their business cards, mailings or other advertisements -- at least in the state of Massachusetts. |
Investment Advisor
March 2010
James J. Green |
RIA Growth at LPL The biggest independent broker/dealer is growing rapidly in another way: as a custodian for advisors that use LPL Financial as the custodian for their RIA activities. |
Registered Rep.
June 1, 2004
Allen Plummer |
Over the Top There's one big problem with being on top, and the organization that administers the Certified Financial Planner designation is in the process of learning all about it. |
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.
April 11, 2014
Diana Britton |
Is the CFP Board Losing Credibility in the Eyes of Advisors? WealthManagement.com surveyed 321 CFP holders and found that one-third believe the recent scandals detract from the perceived value of the designation. |
Financial Planning
January 1, 2011
Donna Mitchell |
Spreading the News After being educated about the requirements for a CFP and the approach these planners take in offering financial advice, consumers say they are more likely to seek out a CFP for help with managing their money. |
Investment Advisor
April 2007
James J. Green |
Watch LPL Grow The largest independent broker/dealer acquires three Pacific Life Insurance Co. broker/dealers. |
Registered Rep.
August 1, 2006
Halah Touryalai |
Blotter Wachovia Self-Dealing Suit... Merrill Fined for Firing Rep... LPL: On the Prowl?... |
Financial Planning
November 1, 2007
Kathy Gevlin |
How Is Your Business? Having survived bubbles, busts and bouts of irrational market behavior, the best financial planners are now feeling very rationally exuberant. |
Investment Advisor
July 2008 |
Group Think The CFP Board has filed a comment letter with the SEC welcoming the Commission's proposal to improve the quality of information that investment advisors must provide to clients and prospective clients. |
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 Advisor
March 2010
Evan Simonoff |
When Advisors Distort Editor's Note: One advisor, who claims to be a CFP licensee and proclaims himself to be an advocate of self-directed investing, used the statistics in last year's survey with extreme dishonesty to make his point. |
Investment Advisor
July 2010
James J. Green |
LPL Financial's IPO: The Competitive Equation How the broker/dealer universe will change with LPL's plans |
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. |
Registered Rep.
February 7, 2011
Jerry Gleeson |
LPL Financial Posts Growth in Assets, Advisors LPL Investment Holdings reported higher revenue and adjusted profit numbers for the fourth quarter, as the acquisition of an advisor network in 2010 boosted assets and advisors at the firm. |
U.S. CPSC
August 5, 2008 |
Halogen Work Lights Recalled by Harbor Freight Tools Due to Fire and Shock Hazards The halogen work lights can overheat and melt, and pose a risk of fire and electrical shock to consumers. |
Financial Planning
February 1, 2011
Donna Mitchell |
On The Move Changes: Kevin M. Keefe joins the New York City-based Advisor Group... Edward Mora appointed chairman of the Disciplinary and Ethics Commission... JHS Capital Advisors adds Frederick J. Vetter as chief compliance officer... Rob Alan and Keith Thomas have both been promoted at Putnam Investments... |
Investment Advisor
June 2008
Melanie Waddell |
On a Mission A conversation with Kevin Keller, in which he promises that his second year as the CFP Board CEO will be even more fruitful than his first. |
Investment Advisor
September 2005
Kathleen M. McBride |
Building a Brilliant Career Larry Barton of The American College offers words of wisdom on how to be a successful financial advisor. |
Registered Rep.
May 5, 2011
Lauren Barack |
Dropping Out of the Tech Arms Race The push to buy every technology bell and whistle that hits the financial service market can break the budget of any financial advisory. |
Registered Rep.
March 9, 2007
Christina Mucciolo |
What's In a Name? If You Are a Fiduciary, a Lot. But Are CFP Certificants Fiduciaries? Financial planners who hold the Certified Financial Planning designation have been tussling with the CFP Board, which controls the CFP designation, over the designation's ethical standards. |
Registered Rep.
May 1, 2005
Kristen French |
Go to the Head of the Class This financial advisor and winner of an Outstanding Broker Award for 2005 loves learning, and his clients love him for it. |
Investment Advisor
January 2010
Bob Clark |
Clark at Large: The Riddle of the CFP Board Have you ever wondered what those folks at the Certified Financial Planning Board are thinking? |
Financial Planning
August 1, 2006
Donald Jay Korn |
Daunted by Designations? As the number of expert designations heads toward triple digits, financial planners must decide which -- if any -- they really need. |
Investment Advisor
April 2008 |
The Writer Couldn't Be More Wrong Letters to the Editor: Performance-based compensation for investment advisors... Is there a lack of qualified advisors?... |
BusinessWeek
February 26, 2007
Lauren Young |
Financial Pedigrees--Or Blarney? A guide to decoding the dizzying array of acronyms on your financial adviser's business card. |
