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Investment Advisor April 2007 James J. Green |
Retirement Planning Balancing Act Being a financial advisor who focuses on selling and servicing corporate 401(k) plans is a matter of balance.  |
Investment Advisor January 2007 Savita Iyer |
DC Advisor-Sponsor Matchmaker The relative lack of corporate advisors is a result of inertia on the part of plan sponsors; despite pronouncing themselves dissatisfied with their retirement plans, plan sponsors do not take the easy step of finding a new advisor.  |
Financial Planning September 1, 2006 David Liebrock |
Mining 401(k) Gold Small- and mid-sized companies are looking for help with their retirement plans. Here's how to reach out to this untapped market.  |
Financial Advisor March 2012 Juliette Fairley |
More 401(k) Avenues Demand is increasing for advisors who can help companies with their retirement plans.  |
On Wall Street September 1, 2012 Elizabeth Wine |
Financial Advisors Turn to the 401(k) Market for More Business Advisors look to 401(k) plans as fertile ground for business.  |
Investment Advisor February 2007 Savita Iyer |
Taking Advantage of the Pension Protection Act Financial advisors need to understand fully what the Pension Protection Act means and how it pertains to their business.  |
Financial Advisor December 2005 Raymond Fazzi |
Into The Black Hole Of 401(k) Consulting Advisors find that the need on the part of both sponsors and participants for professional and unbiased advice regarding 401(k) asset allocation and management is great.  |
Entrepreneur December 2006 |
Advise Advisory Hiring fiduciary advisors for your employees.  |
Registered Rep. May 20, 2011 Diana Britton |
Fee-Only FAs Positioned Well to Capture Retirement Plan Assets Fee-only financial advisors are well-positioned to capture retirement plan clients because of their fee transparency and their business model's alignment with ERISA.  |
Investment Advisor November 2005 Melanie Waddell |
Take Your Pick Retirement plan providers are tempting advisors with numerous products and services.  |
On Wall Street March 1, 2010 Bo Bohanan |
Do You Really Want To Be A 401(k) Consultant? It is fairly easy to spot the advantages and opportunities of working in this marketplace. But, not all of the pitfalls are as evident.  |
Financial Planning January 5, 2008 Elizabeth O'Brien |
The New Fiduciaries LPL and Fiduciary360 educate advisors on retirement consulting in the Pension Protection Act of 2006 era.  |
Registered Rep. July 24, 2012 Jerry Gleeson |
Fee Disclosure - Can You Handle the Truth? New federal rules are forcing advisors to spell out what they're charging for running 401(k) plans and what their clients are getting for the money. It could lead to some difficult conversations.  |
Registered Rep. October 1, 2005 |
60 Seconds with Bill Carey (Head of Fidelity's RIA group) The former president of Fidelity's institutional retirement business and a 12-year veteran of the firm talks about his plans for the advisory unit and the challenges confronting advisors.  |
Financial Advisor May 2008 Marla Brill |
Under Pressure Financial advisors who provide services to businesses with 401(k) plans governed by the Employee Retirement Income Security Act have a new reason to review fiduciary practices and double-check professional liability insurance.  |
Financial Advisor June 2011 Jerilyn Klein Bier |
Tapping 401(k) Opportunities Financial advisors in the 401(k) space are optimistic about future prospects in a shifting regulatory landscape.  |
Investment Advisor February 2007 Melanie Waddell |
Clear Road Ahead Commonwealth's retirement platform, Preferred Portfolio Services Retirement Solutions, keeps financial advisors compliant with ERISA and PPA.  |
On Wall Street October 1, 2010 |
Letters Most people think that health care reform will solve many of the problems facing retirees and people about to retire. Nothing could be further from the truth. Financial advisors need to be prepared to talk about health care costs.  |
Financial Advisor June 2012 |
LPL Financial Launches Rollover Program LPL Financial is launching a new platform to help advisors increase their retirement business by serving more individuals rolling over their 401(k) plans.  |
Investment Advisor October 2005 Kathleen M. McBride |
Retirement Plan Advisor: What's Old is New Traditional defined benefit (DB) plans are getting a new lease on life. There is an opportunity for advisors to help clients who own small businesses to set up a DB plan.  |
Financial Planning April 1, 2012 Donna Mitchell |
The BIG Fix Familiar as 401(k)s are, planners love to hate them, and they'll readily cite long lists of faults with the plans themselves, as well as the way the $2.8 trillion 401(k) industry operates.  |
Investment Advisor July 2009 James J. Green |
More From the Silver Lining Department Here's another silver lining of sorts that's come out of the recession -- at least for advisors and maybe even for the growing ranks of the unemployed. The unemployed are rolling over their 401(k)s.  |
Investment Advisor July 2008 |
News & Products, July 2008 Department of labor will continue to scrutinize the indirect compensation that advisors acting as pension consultants receive... The number individuals participating in HSA-eligible high-deductible health plans jumped significantly since 2004... etc.  |
Financial Planning September 1, 2013 Ilana Polyak |
For Advisors, a Big 401(k) Opportunity As regulatory scrutiny of plans increases, advisors are in the sweet spot to capture new business.  |
Registered Rep. February 1, 2005 John Churchill |
Retirement Class Making a profit in smaller qualified retirement plans has been difficult for advisors because of high costs. However, it's gotten easier in the past couple years, thanks to the emergence of "R" shares, or retirement shares.  |
Financial Advisor August 2007 Eric Rasmussen |
A Velvet Niche National Retirement Partners Inc. is a consortium that is dedicated to retirement plans and their regulatory needs. Some advisors have decided to stop competing with them and have joined them instead.  |
On Wall Street August 1, 2012 E. Thomas Foster Jr. |
Reviewing Retirement Plans Can Reduce Risk In the retirement plans marketplace financial advisors can provide tremendous value for business owners by reviewing the inner workings of 401(k)s and other defined contribution retirement plans for potential risks and overall effectiveness.  |
Registered Rep. October 1, 2006 John Churchill |
Deciphering the Rules of Retirement Advice Title VI of the the Pension Protection Act, far from being a clear-cut signal for reps to dive into the retirement advice business, does, however, open the door wider to advice giving.  |
Registered Rep. November 1, 2005 Kristen French |
Trolling for 401(k) Treasure Congress is expected to enact new pension legislation that would make it easier for financial advisors to work with participants in company retirement programs.  |
Registered Rep. April 1, 2007 |
Confronting the F Word Experts suggest that reps who ultimately become fiduciaries will require additional training. Simply holding various series licenses is probably not going to cut it. There are now more options than just a few years ago.  |
Investment Advisor October 2008 Melanie Waddell |
DOL Floats Advice Proposals The Department of Labor recently announced two proposed rules under the Pension Protection Act designed to make investment advice more accessible for millions of Americans in 401(k)-type plans and individual retirement accounts.  |
On Wall Street October 1, 2009 E. Thomas Foster Jr. |
Seek Opportunities to Help Employers With Retirement Plans Financial advisors whose business clients sponsor 401(k) or other defined contribution plans can provide critical assistance in helping educate both plan sponsors as well as participants in making the most of their retirement plans.  |
Financial Advisor May 2007 Ken Ziesenheim |
Diamonds In The Rough The new Pension Protection Act offers opportunities for financial advisors, if you know where to dig.  |
Investment Advisor February 2008 Kara P. Stapleton |
Win Over Those Rollovers There's a big business in moving clients to IRAs, the Cerulli Edge Retirement Edition study suggests.  |
Registered Rep. August 12, 2011 Diana Britton |
Retirement Income Fever The industry has responded to the great wave of retirees that has just begun with an increased focus on creating retirement income streams -- successfully. It's always a tough feat, what with expanding life expectancies and estimating health care needs far out in the future.  |
Investment Advisor March 1, 2011 John Sullivan |
Catching up with... Kristi Mitchem The senior managing director of State Street Global Advisors and head of global defined contribution speaks about retirement income and what to do about it.  |
Investment Advisor March 2007 Melanie Waddell |
Leading the Way This year is shaping up into one in which advisors will have to stay compliant with a plethora of retirement planning rules and regs if they expect to stay firmly rooted in the retirement planning arena -- and doing what's best for their clients.  |
Registered Rep. April 1, 2007 |
401(k)s Coming Your Way? Big Blue announced that it has hired Fidelity Investments and The Ayco Company to offer financial advice to its U.S. employees. IBM's move may be a first for a major U.S. company. That's good news for financial advisors.  |
Financial Advisor November 2012 Jerilyn Klein Bier |
No More Secrets New 401(k) fee disclosure rules could generate big opportunities for advisors.  |
Investment Advisor November 2006 |
Now and Then When it comes to plowing through the complexities that are associated with retirement planning, advisors need all the help they can get. Fidelity looks ahead to dominate retirement planning now.  |
Financial Advisor December 2003 Jeff Schlegel |
Qualified Plans Rock Through Bear Market The rising demand for advice is changing the 401(k) business.  |
Investment Advisor January 2009 Kara P. Stapleton |
Retirement Planning News & Products A recent study finds that the average 401(k) plan balance has dropped 14% in 2008... Does the state where you live affect the likelihood that you will be a participant in a retirement plan?... JPMorgan Funds launches Target Date Navigator...  |
Investment Advisor May 2007 |
That's Not How I Read PPA Letters to the editor: DOL Requires More Due Diligence for 401(k) Advisors... You say adviser, we say advisor... Corrections...  |
Financial Advisor November 2011 Jerilyn Klein Bier |
Best-Laid Plans Advisors who've built substantial 401(k) practices share their strategies.  |
Financial Advisor December 2009 Mary Rowland |
Rough Road The rules on providing investment advice to 401(k) plan participants have been shifting, and the end of the controversy is not in sight.  |
Investment Advisor April 2009 |
Soapbox: How to Restore Trust If we want advisors to act in the best interest of clients, there should be a compensation system that offers them incentives them to do so.  |
Registered Rep. August 26, 2011 Jerry Gleeson |
Schwab Apologizes Over Sales Pitch to Advisor Clients Schwab found itself apologizing for violating its own policy of pitching portfolio products to retirement plan sponsors who were clients of retail financial advisors and turnkey asset management programs that have custodial relations with the firm.  |
Registered Rep. November 16, 2010 Alan Lavine |
Growth Opportunities: Immediate Annuities And Qualified Retirement Plans There's a window of opportunity for financial advisors to build business: They can use annuities available in 401k plans to help workers with their post-retirement income.  |
Financial Advisor May 2012 Michael J. Mcdermott |
Day Of Reckoning Fee-based advisors should benefit when 401(k) participants soon find out the cost of their plans.  |
On Wall Street January 1, 2011 Steve Garmhausen |
DOL: Advice Rules To Get Tougher The Department of Labor is poised to toughen rules for consultants and advisors that serve retirement plans, as past industry practices have fallen under new scrutiny.  |