How to Switch Firms: Financial Advisors (Registered Rep) The 25 Documents You Need Before You Die (WSJ) 3 Lessons From Advisor’s FINRA Win Over BofA-Merrill (Advisor One) Fee-Only FAs Positioned Well to Capture Retirement Plan Assets (Registered Rep) The Good, the Bad and the Ugly: Limited Options for Orphaned Financial Advisors (Registered Rep) Advisors Use More Visual Tools With Clients (Registered Rep) Exclusive: Communication Habits To Break (FA Mag) - Advisors need to look past words to get their messages across. Advisors Who Want Independence Are Urged to Talk To Chuck (Registered Rep) THE TOP 100 (Barron's) - America's leading financial advisors are thriving in an extraordinary investment climate. Who made our list, what they recommend now. Dodd-Frank: SEC Turns 3,200 Advisors Over to States (National Underwriter) - The U.S. Securities and Exchange Commission has approved a final rule that will put about 3,200 investment advisors who have been regulated by the SEC under state oversight. Advice On Becoming A Top Advisor (FA Mag) 7 Key Attributes of Top Assistants (Registered Rep) Advisory firms looking to hire; but are the candidates any good? (Investment News) - Growing frustration over prospective hires' professionalism, honesty — and comp demands; ‘deficient passion for the industry' How Can Advisors Ask for Referrals? (On Wall Street) - Ninety percent of advisors generate business through referrals, but only 10% to 15% of advisors ask for referrals. What are the secrets to improving those percentages? What Can Young Advisors Do to Develop in the Financial Planning Industry? (On Wall Street) Advisors Worried About Marketing: Peak (On Wall Street) - Ninety percent of advisors said they aren't doing enough to market and publicize their practice effectively, according to a survey by Peak Advisor Alliance. Most still wary of social media. Financial Advisors Missing Rollover Business (FA Mag) - Nearly half of all advisors are missing out on a lot of business they could obtain by helping people roll over employer sponsored retirement plan assets, says a new study. Advisors Undercutting Their Own Fee-Based Business: Survey (On Wall Street) - Advisors are losing an average of $20,000 in fees for not charging their fee-based businesses competitively enough according to Toronto's PriceMetrix. What Are the Top Traits for Financial Planners? (On Wall Street) Are Big Changes Coming For Brokers, Advisers? (MMExecutive) Advisers not charging enough: Study (Investment News) - Many fee-based advisers are under-charging for their services and cheaper rates do not bring in more clients, study finds. Advisers warm up to Twitter, give cold shoulder to cold calling (Investment News) - Increasingly, social media the choice for reaching out to prospects Advisor Groups Urge Congress To Support Fiduciary Standard, SEC (FA Mag) Many advisors overlook rollovers: Cogent (Retirement Income Journal) FINRA: We Understand Investment Advisers(On Wall Street) MFS Survey Finds Disconnect Between Advisers’, Investors’ Outlook(MMExecutive) Third of advisers may blow ADV deadline (Investment News) - Maybe plain-English writin' ain't as easy as RIAs thought; better late than error Will New Rules Stop Brokers From Nibbling on Your Returns? (Yahoo! Finance) Top Performers Have To Be Choosy (FA Mag) - Here's how to segment your book of business and focus on growing using an "ideal" client profile. Street Legal: FINRA's Decision on a Financial Advisors' Tweets Is a Lesson for All (Registered Rep) From the Headhunter: The offer advisers can't refuse (Investment News) Survey: Time Management a Problem for Advisors (Bank Investment Consultant) Advisors Badly Misjudge Risk Tolerance, Says FinaAmetrica (Bank Investment Consultant) Zipcast is a New Tool for Online Financial Advisor Presentations (Wired Advisor) Adviser’s LinkedIn Use is Way Up (WSJ.com) Retention, Recruiting Key As Advisor Population Ages (On Wall Street) - A report released by Pershing suggests that while most wirehouses and independent broker-dealers recognize that their core advisors are aging and will soon need to be replaced, few have done much in the past three years to address the problem. Training Program Ushers Advisors Into Social Media Age (On Wall Street) The 10 Biggest Landmines for Advisors to Avoid (National Underwriter) Use of social media in focus (Investment News) - The SEC and Finra are taking a closer look at how financial advisers use social networking. Brokers still in doghouse with clients, survey finds (Investment News) How Advisors Can Better Utilize Social Media (Bank Investment Consultant) Seven Career-Altering Marketing Tips For Financial Advisors (Bank Investment Consultant) SEC Wants To Improve Access To Advisor Information (FA Mag) - The SEC wants to eliminate the need for investors to have to search two databases to find information on broker-dealers and investment advisors. How to Regulate Advisors (Barron's) SEC to advisers: Pay new fees or face more exams (Investment News) - Agency's much-anticipated report on adviser oversight fails to offer single approach; controversy ahead Can Salesmen Ever Truly Become Stewards? (WSJ.com) Starting Your Own Broker/Dealer (Registered Rep) InvestmentNews' position: SEC should require fiduciary standard (Investment News) GAO report could be first step toward regulating financial planners (Investment News) Tax Law Changes To Plan For In 2011 and 2012 (Registered Rep) Financial Advisors: The Biggest, The Fastest Growing, And The Up And Coming (Forbes) The Best Brokers in America (Registered Rep) Gaining Clients: What I Do at a First Client Meeting (Advisor One) In Tough Year, Unearthing Opportunities For Branch Managers (Registered Rep) - As retail brokerage firms continue to make acquisitions and consolidate offices in 2011, still more branch managers may find themselves getting pink slipped, experts say. Expect SRO For Advisers, Fiduciary Fix For Brokers (Registered Rep) Asset manager charged with threatening Finra and SEC officials: Report (Investment News) How to Be a Retirement Planning Hero (Registered Rep) Ameriprise Unit Must Pay $1.2 Million To Investor (Securities Arbitration Law Blog) Will the SEC Curtail Recruiting Bonuses? (Registered Rep) - Initial signs suggest few changes to broker pay in 2011, but that could all change on Jan. 21. Advisor Intel: How to Invest in Bonds Now (On Wall Street) - For more yield, consider actively managed funds with broad discretion and floating rate funds Financial Advisors End of Year Checklist (Registered Rep) FINRA Expels Austin Firm, Bars 2 From Industry (On Wall Street) Why Some Advisors Are Opening Branch Offices (FA Mag) - In the age of e-mail, Twitter and Facebook, why do some financial advisors think it's important to open satellite offices? Will New Rules Help Investors Win Disputes With Brokers? (WSJ.com) Tips from top RIAs: What makes a good owner? (Investment News) FINRA To Ease Arbitrator Standards In Bonus Cases (FA Mag) - Arbitration cases involving brokers' signing bonuses are piling up, so Wall Street's regulator has a plan: ease the standards for who can hear the cases. Cold-calling brokers unknowingly dialed securities regulators: Officials (Investment News) Allianz Life: Financial Professionals Outdo Personal Trainers (National Underwriter) Number of deadbeat broker cases surging (Investment News) - Firms want reps who quit after taking retention bonuses to pay up Financial planners on Finra oversight: Thanks, but no thanks (Investment News) Mergers Can Cloud Issue Of Broker Protection (FA Mag) - BofA is suing a team of breakaway advisors from its private bank, claiming they're not covered by rules allowing advisors from its Merrill Lynch unit to walk away with certain client data. The One Phrase A Client Needs To Remember (WSJ.com) - For a Wall Street Journal article, I asked four advisers one phrase clients should remember. Here's what they said and why they think the phrase is important. FINRA's Financial Knowledge Survey a Goldmine for Advisors (Advisor One) Make 11 Commitments To Your Clients (FA Mag) A headhunter's dinner with three unhappy advisers, Part 5: Wrapping it all up (Investment News) Broker Payout Gets Complicated With Bonuses (FA Mag) Investment Fraud Sweep Nets 343 Criminal Defendants (FA Mag) - A crackdown on Ponzi schemes and other investment frauds resulted in U.S. enforcement action against 343 criminal defendants and 189 civil defendants since August, the Justice Department said.
|
