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Financial Advisor October 2005 David J. Drucker |
The Parent Care Solution Smart financial advisors have spent at least a little time thinking about ways to keep their clients from straying. They've also thought about protecting their clients from the ravages of old age. Now these seemingly unconnected demands have a common link.  |
Investment Advisor December 2007 Lewis Schiff |
Add a Break-Up Quarterback A divorce specialist can play a key role on your financial planning team.  |
Registered Rep. June 1, 2004 Anne Field |
The Great Divorce Handled right, divorces can be a new positive for the advisor: In most of the cases one advisor has encountered, she's ended up keeping both exes in the fold after the split-up.  |
Registered Rep. May 26, 2006 Halah Touryalai |
NYSE Cautions Investors on Following Brokers to New Firms The release is part of the "Informed Investor" series developed by the NYSE Regulation to better educate investors. The announcement comes at a time when more reps are choosing to switch firms than at any time since 2002.  |
Financial Planning August 1, 2012 Donald Jay Korn |
Split Decisions A fundamental fact of divorce is that it realigns relationships. When their clients divorce, financial planners must make sure they promptly and clearly redefine their own relationships with those clients.  |
Financial Advisor November 2009 David Lawrence |
Different Light Two recent conferences look at economic pressures on advisors, but from different perspectives.  |
Registered Rep. June 1, 2004 Kevin McKinley |
Fee-ling Good Tips for financial advisors on establishing and maintaining fee-based relationships the right way.  |
Investment Advisor April 2010 Lewis Schiff |
The Affluentialist: The Challenges of Advising the Affluent Advisors need to focus on more than just assets with their very wealthy clients.  |
Financial Advisor August 2012 Jeffrey H. Rattiner |
Minimizing The Pain The harsh and overlooked financial side of personal financial planning for divorce.  |
AskMen.com October 15, 2000 Luis Rodrigues |
Divorce Planning: Limit The Financial Sting It is never easy for a man to deal with a failed marriage. It is a time where emotions run very high while important financial decisions need to be made: a lethal combination...  |
Financial Advisor May 2007 Bruce W. Fraser |
When Clients Divorce When faced with divorcing clients, financial advisors can lose two clients, retain one or both. Which will you experience?  |
On Wall Street December 1, 2010 Alan J. Foxman |
When FINRA Intervenes Even non-member firms (such as registered investment advisors) can voluntarily agree to use either FINRA's arbitration or mediation services.  |
Registered Rep. March 1, 2006 Lynn O'Shaughnessy |
Collaborative Divorce A bitter divorce can be hard on everybody, including a financial advisor. As husband and wife try to inflict emotional and financial damage on one another, their advisor may be caught in the middle. But there is a better way -- collaborative divorce.  |
Financial Planning September 1, 2007 Ray Sclafani |
The Future is in Retirement By helping clients envision later-life goals, You can build value in your practice. An exclusive conversation with coach Dan Sullivan.  |
Financial Advisor February 2004 Dan Sullivan |
A New Paradigm For The Advisory Profession Advisors must change the focuses of their businesses.  |
Financial Advisor May 2005 Raymond Fazzi |
Betwixt And Between Hybrid advisors work in both the fee-based and commission worlds.  |
Financial Advisor February 2004 Sydney LeBlanc |
Stature, Service, Size, Simplicity Schwab, Fidelity and Waterhouse are building sophisticated SMA (separately managed account) platforms.  |
Investment Advisor May 2007 Lewis Schiff |
Are You Ready for Advanced Planning? Wealthy clients want a trusted advisor who can help them address a multitude of financial concerns. Here is how to move beyond average.  |
Financial Advisor November 2006 Tracey Longo |
Is The Price Right? When it comes to pricing, many financial advisors are nowhere near as efficient and profitable as they could be.  |
Registered Rep. September 4, 2013 David Armstrong |
Editor's Letter: September 2013 Most advisors decide to move not because they are wooed to greener pastures, but because pain points inside their current environment have become too great.  |
Registered Rep. October 1, 2002 David A. Geracioti |
Outgrowing the Series 7? Registered investment advisors must take the Series 65 exam. As the line between brokers and financial advisors blurs, what responsibilities do brokers that dispense advice and collect a fee based on assets have?  |
Financial Advisor June 2011 Bruce W. Fraser |
Rebuilding Trust - Part 2 Six leaders in the wealth management continue their discussion of the advisory industry and how new rules and regulations will impact it.  |
Financial Planning November 1, 2011 John J. Bowen, Jr. |
Learn To Let Go The idea of shedding clients and the revenue they bring may sound reckless, especially in an uncertain economic environment. But working with non-ideal clients is holding you back from reaching your full potential.  |
Registered Rep. September 29, 2005 John Churchill |
Are You Charging Enough? With competition fierce -- and clients more informed than ever -- it's important to make sure that you are not selling yourself short. In fact, you may not be charging enough for your financial advisory services.  |
On Wall Street June 1, 2011 |
The Leaders Speak The most influential leaders in wealth management today expound on evolution, revolution, moving the debate past wirehouse versus independent, and more.  |
Financial Advisor May 2005 Lavine & Liberman |
Uncertain Future The Fidelity Executive Forum raises issues about where the money management industry is headed.  |
Financial Planning April 1, 2010 Brian Hamburger |
Full Disclosure Protecting client privacy is one of the most important responsibilities of any financial advisor. And it's about to become one of the most time-consuming and highly regulated aspects of the business as well.  |
Registered Rep. February 1, 2005 David A. Gaffen |
Small Game Hunting About 30% of the 22 million U.S. households have somewhere between $100,000 and $500,000 in net worth, including the equity in their homes. Many of them are feeling neglected by their financial advisors.  |
Investment Advisor September 2008 Mark Tibergien |
The Bounty for Captain and Crew Does ownership of an advisory firm pay enough when rewards for employees are so high?  |
Investment Advisor January 2006 Robert F. Keane |
Far From Fossilized Advisors Capital Management looks to provide clients with true individual portfolios of diversified securities at a much lower cost than is possible with mutual funds.  |
Entrepreneur June 2009 Asheesh Advani |
Put Your Advisory Board to Work It's time to rethink the roll of advisors and how they are compensated.  |
The Motley Fool September 5, 2006 Dan Caplinger |
How to Pick a Financial Advisor If you don't have the time or inclination to manage your finances on your own, it can be extremely beneficial to get help from an outside advisor. By following these basic suggestions, you can find a suitable advisor to keep you on the road to financial stability and independence.  |
Registered Rep. June 30, 2010 Christina Mucciolo |
Clients, though Mostly Satisfied, in the Dark about FA Fees, Says Study Overall advisors and investors are still confused about what the advisors' fiduciary responsibility is exactly.  |
Investment Advisor August 2005 |
The Gurus Speak What's the biggest challenge for independent financial advisors? 15 marketing experts weigh-in: Talk About Your Journey... Have a Clear Plan... Specify Goals... etc.  |
Investment Advisor November 2009 Angela Herbers |
Marketing Is Everyone's Job Following are ideas for advisors to incorporate into their strategic marketing initiatives.  |
Registered Rep. May 1, 2006 Janet Arrowood |
Addition by Division Advisors need to be at the top of their game when working on insurance coverage in divorce proceedings, because people often behave badly when the talk turns to money.  |
Financial Advisor January 2005 Tracey Longo |
How Fee-Based Programs Led 2004 Brokerage Profits Fee-based profitability is not lost on brokerage executives, who are ramping up programs designed to attract more planners to a fee-based business model and away from traditional commissions.  |
Financial Advisor September 2004 Grove & Prince |
How U.S. Small Business Owners Find Their Advisors Referrals and trustworthiness are key elements for financial advisors in gaining this high-end business.  |
On Wall Street June 1, 2013 Braswell & Konish |
Leaders: Ranking the Top Wirehouses and Regional Broker-Dealers This year, the leading wirehouse and regional wealth management firms took the steps necessary to ensure they reap rewards as markets hit new highs.  |
Financial Advisor August 2006 Hannah Shaw Grove |
Life Insurance And Wealth Management Helping client with life insurance is an important service of effective wealth managers.  |
Financial Advisor September 2005 Bruce W. Fraser |
Through The Eyes Of Estate Planning Attorneys Attorneys and financial advisors are natural allies in the estate planning process, but if the relationship is not cultivated properly, it can deteriorate quickly.  |
Financial Advisor May 2004 Raymond Fazzi |
Niche Players Provide More Choices For Advisors Many are trying hard to differentiate themselves---and are succeeding.  |
Financial Planning November 1, 2006 Marshall Eckblad |
Advisor Pulse Financial planners are working hard to meet the needs of their retiring clients. But according to a recent survey, they might be doing so at their own expense.  |
Financial Advisor June 2010 Simonoff & Rasmussen |
Tall Task Building an in-house business consulting group, Derek Bruton is trying to help advisors at LPL adapt to the Darwinian business climate.  |
BusinessWeek August 15, 2005 Mara Der Hovanesian |
A Street-Savvy Bank Cop New York State Superintendent of Banks Diana Taylor is fiercely focused on protecting consumers.  |
Investment Advisor August 2005 Mark Tibergien |
Formulas for Success: Independence Day There is a growing trend toward registered reps moving out of the wirehouse environment -- a trend invisible to most, but obvious to the country's leading custodians: they are actively wooing breakaway brokers.  |
Financial Planning October 2, 2007 Elizabeth O'Brien |
Advisor Pulse A new study reveals that while 95% of all financial advisors believe they've talked about fees with their clients, only 66% of customers say their advisor has initiated a fee discussion with them.  |
Financial Advisor November 2009 Bruce W. Fraser |
Shifting Landscape A shifting economic environment is also changing financial advisors' practice management world.  |
Financial Planning October 2, 2007 Jack W. Callahan |
Embrace Change Advisors have to adapt their practices to accommodate retiring clients.  |
On Wall Street November 1, 2011 Elizabeth Wine |
The Unfaithful Client Cheating on a financial advisor is a known, but frowned-upon client practice. But new research says that it has been gaining traction among high-net-worth households since the market turmoil began in 2008, with many clients bolstering their stable of advisors.  |