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Investment Advisor
October 2007
Kara P. Stapleton
Slight Growth in RIAs The universe of registered investment advisors grew only slightly during the past year. mark for My Articles similar articles
Investment Advisor
November 2009
James J. Green
Numerology: Fewer Assets, More Advisors Total assets managed by investment advisors shrank in 2008 but the number of SEC-registered investment advisors increased. mark for My Articles similar articles
Investment Advisor
June 2010
Angela Herbers
The Fast Track: American Standard Comp tables based on surveys of advisory firms won't help you find the right salary range for your firm if those firms are over- or underpaying. mark for My Articles similar articles
Investment Advisor
February 2008
Angela Herbers
Barring the Door How to stop training your (future) competition. mark for My Articles similar articles
Investment Advisor
July 2009
Group Think Association news: MD Preferred Service Network, an online physician resource center, is working with NAPFA to launch the MD Preferred Financial Advisor Network... Investment Adviser Association has announced a new slate of officers for the coming year... more... mark for My Articles similar articles
Financial Planning
September 1, 2008
Bob Veres
The Price of Going Pro Some financial advisors today believe that by striving to create a profession, they may actually be aiming too low. mark for My Articles similar articles
Investment Advisor
April 2006
Melanie Waddell
Catch Up How financial advisors can meet the challenge of keeping pace with their clients' retirement needs in a changing world. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
October 2005
Kathleen M. McBride
Privileged Membership Professional associations can give financial advisors a very good idea of how well they are doing compared to their peers -- and often provide practice management guidance about how to make improvements that could yield a material difference to their bottom line. mark for My Articles similar articles
Registered Rep.
September 16, 2011
Jerry Gleeson
RIA Interest in Financial Planning Grows, Industry Data Suggests Financial planning activities are playing a growing role in the service offerings of registered investment advisors. mark for My Articles similar articles
On Wall Street
November 1, 2010
Gallant & Schneider
Navigating The Retirement Business The demand for retirement income support will continue to grow rapidly in the coming years as the aging of the baby boom generation is inevitable. mark for My Articles similar articles
Financial Advisor
April 2008
David Drucker
Why Aren't We There Yet? When asked about financial planning as a profession, most advisors get introspective with observations like, "I don't know if our industry is a profession yet, but I know I'm a professional." When will financial become a true profession? mark for My Articles similar articles
Financial Advisor
June 2011
Bruce W. Fraser
Rebuilding Trust -- Part 1 Though Bernard Madoff was carted off to jail, he still casts a long shadow over the financial advisory community and advisor/client relationships. mark for My Articles similar articles
Financial Planning
October 2, 2007
Jack W. Callahan
Embrace Change Advisors have to adapt their practices to accommodate retiring clients. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
January 1, 2011
Melanie Waddell
FINRA Jockeys for SRO Spot as SEC Report to Congress Nears The Financial Industry Regulatory Authority is engaged in a full-court press to convince the SEC that it should be the SRO for advisors. mark for My Articles similar articles
The Motley Fool
October 30, 2006
Dan Caplinger
Avoid the Boiler Room Some financial advisors know more about sales than they do about investing. Finding good financial advice is tough. Investors with little or no knowledge about their finances are extremely vulnerable to disreputable professionals. mark for My Articles similar articles
Registered Rep.
August 19, 2009
Christina Mucciolo
Haggling Over The F Word Continues Regulators, consumer advocates and politicians continue to hammer out what it might mean for Series 65 investment advisors and series 7 registered reps to adhere to the new fiduciary standard. mark for My Articles similar articles
Investment Advisor
March 2008
Angela Herbers
Words of Wisdom Keeping older professionals in the industry should be a priority. And if we don't do something to rectify this situation sooner rather than later, we face the prospect of watching the experience of a whole generation literally walk out the door. mark for My Articles similar articles
Investment Advisor
September 2007
Melanie Waddell
Hedge Funds Continue to Deregister During the past year, 732 hedge fund advisors have deregistered, according to the Investment Adviser Association and National Regulatory Services seventh annual report, Evolution/Revolution, which profiles the advisor profession. mark for My Articles similar articles
Financial Planning
August 1, 2007
Marshall Eckblad
Advisor Pulse If a new survey is to be believed, advisors who help their clients with retirement planning -- and that's most of you -- will soon face a difficult choice: Change the way you service clients or watch your profits shrink. mark for My Articles similar articles
Financial Advisor
December 2011
Frontline News Investors Can Change Irrational Behavior... Tax Changes for 2012... The Certified Financial Planner Board of Standards launched a four-year, $36 million public awareness marketing campaign... more... mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
December 2006
Bob Clark
Hope It Wasn't Something I Said The CFP Board's chance to rethink its role in the financial planning profession. mark for My Articles similar articles
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? mark for My Articles similar articles
Financial Advisor
April 1, 2010
Frontline News Advisor news: Is Your Client's Private Info Secure?... Hybrid Brokerages Shine Light On New Space... CFP Aspirants Need A Plan... Wanted: Silver Bullet For Retirement Income... more... mark for My Articles similar articles
Financial Advisor
November 2007
Frontline News CFP Board Picks New Chief Of Exams And Education... Are Regulators Losing Their Mojo?... Gingrich, Ford: Save New York City... Staffing -- Not Clients or Revenues -- Is Advisors' Big Challenge... etc. mark for My Articles similar articles
Investment Advisor
January 2009
Kara P. Stapleton
Group Think News from the CFP and FPA. mark for My Articles similar articles
Registered Rep.
May 31, 2007
CFP Board Approves Tighter Code of Ethics The CFP Board approved a second round of revisions to its code of ethics, essentially strengthening the duty of care CFP certificants must use with regards to their clients. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
April 23, 2014
David Armstrong
Editor's Letter: May 2014 The CFP Board's refusal to recognize problems doesn't bode well for the future of an organization that continues to play a vital role. mark for My Articles similar articles
Financial Advisor
July 2007
Richard B. Wagner
Now What? With FPA's win in its lawsuit against the SEC, financial advisors need to reflect on what that means for the profession. mark for My Articles similar articles
Investment Advisor
February 2009
Angela Herbers
Advisor, Heal Thyself Good advice to advisors these days is that they revise their own financial plans. mark for My Articles similar articles
Financial Planning
February 1, 2005
Ed McCarthy
The Next Generation of Advisers (and the Problem with Uncovering Them) There's still no tried-and-true path for those entering the financial planning profession. mark for My Articles similar articles
Investment Advisor
January 2006
Melanie Waddell
Retirement Plan Advisor: The Income Conundrum To address retirees' income issue head on, financial services executives have joined up to launch a new trade group, the Retirement Income Industry Association (RIIA). mark for My Articles similar articles
Investment Advisor
March 2010
Melanie Waddell
Cover Story: Custom Job All signs point to 2010 as the year in which many substantive retirement planning reforms will either be cemented or set into motion by Congress and the Obama Administration. mark for My Articles similar articles
Registered Rep.
December 1, 2006
John Churchill
Of Two Minds An internecine argument at the FPA gets to the heart of one of the industry's more vexing problems: Should brokers be able to position themselves as financial planners? mark for My Articles similar articles
Investment Advisor
May 2008
Melanie Waddell
Donohue on the Rand Report & Paulson SEC exec doesn't foresee a single regulator for advisors and broker/dealers. mark for My Articles similar articles
Financial Planning
May 1, 2013
Charles R. Chaffin
Making the Case for CFP Standards While the planning profession has evolved considerably, there is still work to be done. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Advisor
July 2004
Gail Liberman
Muni Bond Funds Vs. Individual Bonds A new study says the funds are cheaper if you actively trade. mark for My Articles similar articles
Investment Advisor
June 1, 2011
Thomas D. Giachetti
From Deadlines to Lifelines The SEC extension of registration deadlines provides a potential grace period for stressed out advisors. mark for My Articles similar articles
Investment Advisor
January 1, 2011
Thomas D. Giachetti
Keeping Political Contributions Compliant A new rule on political contributions by investment advisors may make donations dangerous. mark for My Articles similar articles
Investment Advisor
September 2009
Lewis Schiff
The Affluentialist: Building Retirement Portfolios Now Few advisors use a cookie cutter approach to retirement income support. mark for My Articles similar articles
The Motley Fool
November 27, 2006
Dan Caplinger
Financial Planning Ethics With the increasing complexity of the financial world, it's increasingly important to find professionals you can trust. By choosing a financial planner who is governed by strict ethical principles and guidelines, you can feel more confident that you will get the advice and assistance you deserve. mark for My Articles similar articles
Investment Advisor
April 2010
Melanie Waddell
Washington Watch: The Shape of Reform Begins to Sharpen Dodd's bill calls for SEC study, not a fiduciary standard; advisors await final markup. mark for My Articles similar articles
Investment Advisor
August 2006
Retirement Planning: News & Products Retirement Income Industry Association (RIIA) launched a retirement income planning educational program for advisors... Co-op America Business Network members get a diverse 401(k) platform of socially responsible investment funds... etc. mark for My Articles similar articles
Financial Planning
May 1, 2008
Andrew Ackerman
Muni EMMA The Municipal Securities Rulemaking Board launched a pilot version of EMMA, a free, centralized online portal that will eventually provide investors with real-time disclosure and price information on municipal securities. mark for My Articles similar articles
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. mark for My Articles similar articles