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Financial Planning
July 1, 2013
Scott Wenger |
FPA's Michael Branham: Succession on His Mind The FPA s president says advisors of all ages should be thinking about the next chapter of their careers.   |
Financial Planning
December 1, 2012
Bob Veres |
Defining 'Real' Planning: Who Are The Real Financial Planners? If you re not doing the hard work of developing detailed plans for your clients, maybe you need a new job description. |
Financial Planning
October 1, 2006
Elizabeth O'Brien |
The Fiduciary Fracas Debate and controversy over the elusive standard could be just what the industry needs. |
Registered Rep.
January 3, 2008
Christina Mucciolo |
SEC's RAND Study Released The SEC release the results of the RAND study, which examined how broker/dealers and investment advisors market products and services to investors, and how investors understand the differences between investment advisors and broker/dealers. |
Financial Advisor
February 2007
Roy Dilberto |
Establishing Trust In Financial Planning For large wirehouses, they need to understand that business is not leaving them and being transferred to independent advisors because of the fee structure. It is because most of these people are registered as investment advisors and follow the spirit as well as the letter of the fiduciary relationship. |
Financial Planning
May 1, 2005
Vincent A. Schiavi |
Trust for Sale When financial planners and CPAs work together, the client doesn't always win. |
Investment Advisor
November 2006
Bob Clark |
Name Game Advisors who want to benefit from the more favorable economics of working with fewer -- but higher net worth -- clients will increasingly need to position themselves as investment managers or wealth managers. |
Financial Planning
April 1, 2006
Michael E. Kitces |
Partnership Problem In the financial planning profession, is the promise of a partnership the only way to adequately reward key employees? |
Investment Advisor
October 2009
Bob Clark |
Clark at Large: The Dog That Didn't Bark A fiduciary duty to all clients would be more immediate, widespread, and at least as beneficial as separate regulation of planners. |
Financial Planning
September 1, 2007
Rick Kahler |
Practice What You Preach Financial planners who want to enhance their financial lives and improve their professional skills could benefit greatly from hiring their own planner. So why don't they? |
Investment Advisor
November 2007
Kara P. Stapleton |
Conversation Obligation Involving the client in retirement planning helps grow advisors' business. |
Investment Advisor
September 2007
James E. Kearney |
No Rest for the Planning Industry It's important for the profession to take a three-pronged approach to financial literacy: advancing the profession; educating the public; and growing planners for the future. |
Investment Advisor
August 2005
James A. Barnash |
Train the Young, Build an Industry The Financial Planning Association's president argues for more mentorship in the industry. |
Financial Planning
January 1, 2009
Bob Veres |
The Road Ahead The publisher of InsideInformation recaps his accomplishments of the past year, and looks ahead to 2009. |
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? |
Financial Advisor
June 2004 |
Letters To The Editor Advisors Should Evaluate Annuities... Clearing Up Confusion... |
Investment Advisor
February 2008
Melanie Waddell |
A Groundbreaker SEC's Rand report, of the broker/dealer and investment advisory industries will dominate the discussion among brokers and advisors in 2008. |
Investment Advisor
January 2006
Steve Moeller |
The Business of Advice: When Talk Isn't Cheap Have bigger conversations with financial advisory clients; both of you will benefit. |
Investment Advisor
May 2007
Kathleen M. McBride |
Exemption Vacation "To be, or not to be?" a fiduciary is the question of the hour for broker/dealers. |
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. |
Investment Advisor
February 2008
Melanie Waddell |
A Busy Year in Washington Now that the Rand report assessing the advisory and broker/dealer industries has been released, No doubt advisors and brokers will be anticipating any possible regulatory actions that the SEC may take. |
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. |
Financial Advisor
September 2008 |
Frontline News News of interest to the financial services industry: M&A Talks Hit Many Roadblocks... Ameriprise Buys H&R Block's Advisor Business... Morningstar Buys Developer Of dbCAMS+... Securities America To Buy Brecek & Young... etc. |
Investment Advisor
May 2009
James J. Green |
Catching Up With: Jeff Montgomery A conversation with the CEO of Al Frank Asset Management. |
Financial Advisor
May 2007 |
Frontline News Don't Party Like It's 1999... CFP Board Moving Headquarters... Advisors Settle Multimillion Lawsuits... FPA's New Fiduciary Standard For All Planners... Mesirow Advisors Become RIAs... |
Investment Advisor
May 2007
Bob Clark |
We Win, Sort Of How the FPA can make the most out of its upset victory over the SEC. |
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. |
Financial Planning
January 1, 2013
Bob Veres |
Future Tense for Financial Advisors With fiduciary advisors taking market share from the brokerage firms, will FINRA exact payback? Here s a glimpse of what may come. |
Registered Rep.
March 1, 2008
John Churchill |
Fix Advisor Laws! Laws should reflect the fact that the differences between registered reps and registered investment advisors have largely evaporated. |
Financial Planning
February 1, 2008
Marion Asnes |
Editor's Letter The editor speaks out against proposed regulation changes in the Registered Independent Advisory industry. |
Financial Planning
March 1, 2011
Donna Mitchell |
Staffing: The Next Generation Early in the life cycle of a financial planning firm, once it grows beyond a few seasoned principals, comes the day you hire your first new young associate planner. It's an important step for your firm, and for the profession. |
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. |
Financial Planning
September 1, 2010
Marc Freedman |
Word Games The public wants to hire financial planners who can visibly showcase an ongoing commitment to their words and promises. |
Financial Planning
June 1, 2008
Bob Veres |
The Plan This is an interim report on the market share erosion experienced by our Wirehouse ("Member") firms versus "fiduciary" and "consumer-focused" financial planners. |
Financial Advisor
April 2010
Jeff Schlegel |
An Alternative World A growing number of financial advisors and their clients are clamoring for alternative investments in the wake of the massive market maelstrom of '08-'09, but it's a broad space requiring lots of due diligence. |
Financial Advisor
August 2010
Roy Diliberto |
An Elusive Profession Work still needs to be done so that clients, regulators and the media view and understand us for what we -- financial planners -- are. |
Financial Planning
November 1, 2006
Daniel B. Moisand |
Keep Standards High Financial planning is surprisingly under-regulated. The rules that do exist apply primarily to subset disciplines. As a result, all planners are regulated but no one really regulates planning. |
Registered Rep.
September 29, 2011
Jerry Gleeson |
Financial Planners Broaden National Pro-Bono Outreach As Americans continue to struggle with finances, a consortium of financial planners will sharply broaden an annual outreach next month to consumers looking for free professional advice. |
Financial Planning
June 1, 2012
Dave Grant |
To Grow, Think Small Niche marketing, by design, focuses on a small segment of the market. By choosing a smaller group to serve, you can become a specialist serving the needs of this population. |
Investment Advisor
March 2006
Angela Herbers |
The Fast Track: Glory Days Financial planners need to decide whether they want stardom or the benefits of a growing firm. |
Financial Planning
June 1, 2012
Bob Veres |
Stop Imaginary Planning Our profession's history is a story of mass migration away from, and then back to, what we might call real planning. |
Financial Advisor
May 2009
George Kinder |
Financial Planning's Historic Moment An opportunity has opened to help create a financial advisory profession that consumers will trust and admire decades from now. |
Financial Advisor
July 2007
Sharon Weinberg |
MFOs And Alternatives Soup Multiple disciplines and multiple products converge in the making of independent-minded financial planners and their clients. |
Financial Planning
February 1, 2010
Deena Katz |
Our Cosmic Glue Competing ideas may pit financial advisors against one another, but a much more powerful force should unite them, which is the desire to serve clients well. |
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? |
Investment Advisor
February 2010 |
Soapbox: Here's What We Were Thinking The Financial Planning Coalition is glad to see Bob Clark's vociferous advocacy of a fiduciary standard of care for individuals who dispense financial planning advice, but not so glad of his inability to let go of the past. |
Investment Advisor
November 16, 2010
Olivia Mellan |
Future Imperfect Six pioneering advisors and observers present a likely view of the essentially unknowable. I asked several well-respected thinkers and planners about the most significant challenges that financial advisors will face. |
Financial Planning
July 1, 2013
Katie Kuehner-Hebert |
Quitting Your Job? Create an Exit Strategy Advisors considering a change of venue need a game plan and a clear sense of who owns their client relationships. |
Investment Advisor
March 2008
Bob Clark |
The Empire Strikes Back Wall Street's crafty response to its whipping over the Merrill rule. |
Financial Advisor
October 2011
Roy Diliberto |
Rules Of Dumb Some advisors use rules that dumb down our profession. |
