Results for "On Advice"

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Face it: Americans resent how well industry is paid

September 29, 2013

Talking about big-time bonuses for bankers, traders and investment adviser reps has turned into a bedeviling matter for those in the financial services industry. Recent conversations about who gets paid what in the business have revealed two...

A novel idea

September 15, 2013

Many financial advisers spent the last week of August savoring the final days of summer vacation, hanging out with their families on the beach or by a lake. One veteran adviser and registered representative, Frank Congemi, chose to spend his...

Has the glass ceiling in financial services really been broken?

September 9, 2013

Talking about males and females in any situation is always loaded with concern, so I would like to start this piece by saying that none of the following is intended as a statement about any specific gender. I am talking in generalities to get...

LPL right to eliminate 'self-supervision'

July 28, 2013

Over the past decade, chief executive Mark Casady has built LPL Financial LLC into a 13,000-rep behemoth through two tactics: buying broker-dealers and aggressively recruiting registered representatives and financial advisers, many of whom were...

Finra's financial woes no recipe for viability

July 14, 2013

Along with regulating broker-dealers, Finra's mission includes protecting investors. But if the Financial Industry Regulatory Authority Inc. can't turn its fortunes around, that essential objective for financial advisers could be in jeopardy....

Non-licensed but still advising

June 16, 2013

Dan Levin's radio show is called “Investment Talk,” but since last September, he hasn't had a license to sell investments as a broker. And he's not been licensed to give investment advice as an adviser since last June. That would make it...

Reps: Get the lowdown on your firm

June 2, 2013

Registered representatives and financial advisers at small to midsize broker-dealers were reminded last week that to protect their businesses, they need to know the financial health of the firm with which they affiliate. Advisers must, at a...

Heading off hack attacks

May 19, 2013

Financial advisers are on the front lines protecting their clients from cybercrime. Just take the story of one firm and one adviser, Mark Reed. The managing director of Bush O'Donnell Investment Advisors Inc. last week witnessed an online attack....

Nontraded-REIT party is about to commence

May 5, 2013

Investment advisers and their clients will reap a bonanza over the next two years or so as a number of large nontraded real estate investment trusts go public or are acquired. The windfall, however, presents a dilemma for advisers. Should they...

Be leery of 'bondlike' claims of investment products

April 21, 2013

Financial advisers must remain wary of the claims of some funds and investment products that promise to be “bondlike” but fail to live up to that promise. Advisers' vigilance is particularly needed as investors grow skittish of bonds: The...

Relationship between Wall Street and independents grows

April 7, 2013

Wall Street institutions, including The Goldman Sachs Group Inc., are chasing independent financial advisers and hybrid brokers with the ardor of a teenage boy at his first prom. What those money managers and consultants need to remember is...

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