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Investment Advisor
August 2010
Savita Iyer-Ahrestani |
Retirement Planning: Serving Gen Y Now Advice for advisors on branding, service, and capturing Gen Y -- and its assets -- now.   |
Investment Advisor
August 2010
Savita Iyer-Ahrestani |
Retirement Planning: News and Products Reports on Michigan Retirement Research, Putnam Investments' Lifetime Analysis Tool, and Diageo's innovative way to plug a gap in its corporate pension plan. |
Investment Advisor
August 2010
Dan Skiles |
The Technology Coach: Advisors: What Is Your Mobile Technology Strategy? How can your advisory firm leverage mobile devices and smart phones to conduct business and better serve clients? |
Investment Advisor
August 2010
Ray Sclafani |
The High-Performance Coach: Preparation: The First Step in What makes a top-performing advisor? There are seven components common to the best-of-the-best. |
Investment Advisor
August 2010
Marlene Y. Satter |
Broker/Dealer Briefing: Facebook and Twitter: Compliance Concerns Loom As FINRA notes, social media is no longer a trivial pursuit for advisors. And as they've grown more complex, the need to consider compliance issues for all communications on social media has grown from mere prudence to a necessity. |
Investment Advisor
August 2010
Melanie Waddell |
Broker/Dealer Briefing News and Products Reports on FSI, Coordinated Capital Securities, American Portfolios, and more. |
Investment Advisor
August 2010
Thomas D. Giachetti |
The Compliance Coach: Independent Advisors: Don't Violate the Protocol There are two major issues for a registered representative to consider when deciding to leave a firm and go independent. The first is how to leave. The second is appropriate registration and ongoing regulatory complance requirements. |
Investment Advisor
August 2010
James J. Green |
The Final Word: The Near Occasions of Sin It will help you differentiate yourself if you go beyond what the law or the regulators require when it comes to client disclosure. |
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. |
Investment Advisor
August 2010
Melanie Waddell |
Will the States Be Able to Regulate Big RIAs? State regulators and the Securities and Exchange Commission (SEC) will meet soon to iron out the details of shifting nearly 4,000 advisors from federal to state supervision. |
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