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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.  |
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. August 4, 2006 John Churchill |
Senate Passes Pension Bill to Bush The U.S. Senate passed the Pension Protection Act, which lawmakers hope will spur businesses to improve existing employer-sponsored retirement plans. There is also a special gift to financial advisors in the bill.  |
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 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.  |
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.  |
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.  |
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 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 January 2007 Ken Ziesenheim |
The Other Fiduciary Issue Many members of company retirement plan investment committees are not fully aware of the nature of their fiduciary responsibilities.  |
Financial Planning April 1, 2006 Marshall Eckblad |
Bookshelf: Build a 401(k) Business Planners looking to grow their small-business clientele will find How to Build a Successful 401(k) and Retirement Plan Advisory Business especially valuable as a step-by-step introduction to the market.  |
Registered Rep. May 28, 2003 Ross Tucker |
A Greater Hand For Advisors In 401(k) Business Pending legislation could clear the way for advisors with 401(k) business to sell financial advice to plan participants.  |
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.  |
The Motley Fool February 1, 2005 Dayana Yochim |
When Not to Roll Over Sometimes it's best to leave your 401(k) money with your old boss.  |
The Motley Fool January 13, 2004 Dayana Yochim |
The Old 401(k) Conundrum When not to roll over your 401(k) funds.  |
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.  |
Financial Advisor March 2012 Juliette Fairley |
More 401(k) Avenues Demand is increasing for advisors who can help companies with their retirement plans.  |
Financial Planning October 1, 2011 Donna Mitchell |
Doubling Down When the SEC recommended last January that brokers and investment advisors operate under a uniform fiduciary standard of care when dealing with clients, the decision seemed to validate, at last, what many industry groups and fiduciary advocates had been saying for years.  |
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.  |
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.  |
Registered Rep. October 22, 2002 Rick Weinberg |
Merrill to Reps: Go Get 401(k) Business Merrill Lynch advisors are now going to offer participants in Merrill-run retirement plans specific buy and sell recommendations. Indeed, participants may elect to turn over all investment decisions to Merrill advisors.  |
Financial Advisor November 2011 Jerilyn Klein Bier |
Best-Laid Plans Advisors who've built substantial 401(k) practices share their strategies.  |
Financial Advisor December 2003 Jeff Schlegel |
Qualified Plans Rock Through Bear Market The rising demand for advice is changing the 401(k) business.  |
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.  |
Investment Advisor June 2008 Melanie Waddell |
Retirement Planning at Envestnet The former president of Ibbotson plans 401(k) advice platform for Envestnet Asset Management's newly established Retirement Services Group.  |
Financial Planning August 1, 2010 Marion Asnes |
Now the Fun Begins It's much easier to talk about fiduciary responsibility than it is going to be to walk the walk.  |
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.  |
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.  |
Bank Director 2nd Quarter 2011 Naomi Snyder |
A New Mandate for Risk Management The financial crisis revealed serious risk management deficiencies throughout the banking industry, and now the feds are forcing boards to accept direct responsibility for the risks their institutions take.  |
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.  |
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.  |
Investment Advisor December 2009 Kathleen M. McBride |
B/D Briefing: Surprise Broker Sentiment Most appear to support a fiduciary standard.  |
Financial Planning July 1, 2010 Marion Asnes |
Envestnet's Fiduciary Opportunity Bill Crager, president of Envestnet, is not going to wait for Washington to figure out the fate of the fiduciary standard. The way he sees it, the market has already spoken.  |
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.  |
Investment Advisor October 2006 Melanie Waddell |
Catching up with... An interview with Tom Grzymala, a former RIA and Accredited Investment Fiduciary Auditor about ensuring those advisors who proffer advice are living up to fiduciary standards.  |
On Wall Street September 1, 2012 Frances A. McMorris |
Editor's Letter: Wealth Management with a Personal Touch Things that financial advisors need to consider as baby boomers approach retirement.  |
IEEE Spectrum June 2006 Carl Selinger |
Making Committees Work Volunteering for committees is a great way to get involved in businesses and in professional societies. You'll learn new skills and subjects and rub elbows with people you might not normally get a chance to work with. This can open the door to potential mentoring relationships and, yes, job offers.  |
Investment Advisor March 2008 Melanie Waddell |
Figuring Out Fiduciary What, exactly, does fiduciary advisor mean? How can an advisor know for sure if he's fulfilling his fiduciary obligations? Are there any real guidelines?  |
The Motley Fool December 17, 2008 Robert Brokamp |
The 401(k) Crisis and What You Can Do About It That thing you're using to save for retirement? Your 401(k)? It's got a lot of problems.  |
Registered Rep. October 1, 2006 Kevin Burke |
60 Seconds with...David Tyrie A short interview with the head of Putnam's retirement services unit, who works directly with 401(k) sponsors and financial advisors.  |
Entrepreneur December 2006 |
Advise Advisory Hiring fiduciary advisors for your employees.  |
Registered Rep. March 1, 2007 Anne Field |
The Retirement Game For many financial advisory practices, providing 401(k) services to small businesses has been a virtual gold mine. Here's a look at three different advisors, and how they did it.  |
The Motley Fool February 11, 2010 Dan Caplinger |
The First Place to Put Your Money Now Employer-sponsored retirement plans, one way you can assure yourself of a big gain right out of the gates, are back -- and if you can, you should make sure you take advantage of it.  |
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.  |
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.  |
CFO May 1, 2007 Russ Banham |
To Rollover, or Not? Why retirees should think twice before shifting 401(k) assets into an IRA.  |
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.  |
Registered Rep. March 16, 2012 Kristen French |
Wire Houses Minting Fiduciary Advisors -- Or Are They? None of the firms will go on record as to whom specifically in the rank and file is adopting the standard, nor will they provide much detail on what that training looks like.  |
The Motley Fool December 17, 2008 Todd Wenning |
The Best 401(k) Plan Sponsors With the right approach and the right 401(k) plan sponsor, you can do better than you would have with a pension. Here are the best defined-contribution providers, by market segment, according to Plansponsor.  |
Registered Rep. July 1, 2005 Stan Luxenberg |
New Rivals Are investment research firms, such as Morningstar and Ibbotson Associates, now rivals to registered reps?  |