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Finding a new B-D after termination

September 22, 2013

In past years, we have seen countless financial advisers devastated by unexpected terminations by their broker-dealers. Although most terminations can be predicted, some come as a huge surprise, leaving the adviser out of business, in shock...

Advisers: Think before adding more services

September 18, 2013

Wealth management firms tempted to add new services should begin by assuring themselves that any new services add value without draining resources, a panel of experts said Tuesday. While new technology, services or marketing approaches can attract...

Most Americans fail financial planning test

September 18, 2013

Fewer than one in five American households are methodical about planning their finances, and one in 10 do no financial planning at all, imperiling their ability to save effectively for retirement and emergencies, according to a report released...

Advisers should invest in employing Gen Y

September 18, 2013

Stop competing with other firms to hire proven financial adviser talent and start cultivating some of your own. That's the message of a Pershing LLC white paper released Wednesday. As many as 500,000 students coming out of American colleges...

How to develop 'sticky' clients

September 17, 2013

Advisers spend about five times as much to bring on a new client as they do to keep an existing one, creating a huge incentive to keep clients “sticky,” according to an adviser coach. Clients stick with an adviser if they have deep personal...

9 tips for becoming an elite adviser - Hone in

September 17, 2013

Define a niche by focusing on what you are passionate about in your business, what you can do better than anyone else and what drives your economic engine. Tip: Think about the clients whose calls you look forward to answering. (Source: Adviser...

American College launches web-based program for CFA candidates

September 16, 2013

The American College of Financial Services today launched AnalystSuccess.com, a mobile preparatory program for the chartered financial analyst exam. The new program for CFA candidates offers web-based packages that are both self-guided and instructor-led....

Regulators: Don't get lost in the soup

September 15, 2013

Confusion over the alphabet soup of designations faced by investors has led the North American Securities Administrators Association and the Securities and Exchange Commission to issue a note about the plethora of titles used by financial advisers....

Best time to retire is 59, expert says

September 15, 2013

The magic age at which an adviser should exit the business is 59, according to a succession-planning expert. By 59, an adviser's maximum annual growth rate has peaked and is coming down, David Grau, founder and president of FP Transitions, said...

Training new advisers by osmosis

September 13, 2013

AdviceOne LLC takes a unique approach to adviser training that does not include instruction on stocks, bonds or even the markets themselves. Its president also won't hire anyone who has more than six months' experience in the financial industry....

Time to re-price old clients

September 12, 2013

Changing what advisers charge existing clients may be the best way to boost firm profitability, a consultant told advisers at the Financial Services Institute Advisor Summit in Washington yesterday. Some experienced advisers have increased fees...

Help clients prepare for hurricane season now

September 11, 2013

One of the biggest news stories of last year was Hurricane Sandy, which wiped out entire communities along the New Jersey shore and methodically brought New York City and parts of New England to their knees in late October. It led to more than...

'I am the best financial adviser ever!'

September 11, 2013

By Kirk Lowe In our "always on" world, the truth is only as far away as Google and Twitter. "Fake it until you make it" is much harder for financial advisers to pull off these days — especially online. When you are building your brand and...

Adviser using her business skills in the statehouse

September 11, 2013

As Ohio struggled with high unemployment and a decline in education funding, and contemplated raising property taxes to close budget gaps, Heather Bishoff thought she could help her state navigate what looked to her like a perfect storm. So...

Start ups pitch automated advice at tech confab

September 11, 2013

At a gathering of geeks, bankers and even some advisers this week in New York, a chorus of developers hawked products, claiming to revitalize — with airtight security, jazzy graphics or habit-forming incentives — the way people pay for investment...

Your social-media marketing schedule in just 2 hours a week

September 11, 2013

By Taylor Clark In the world of a financial adviser, time management can mean the difference between success and failure. Unfortunately, when you attempt to fit a social-media marketing schedule into a week packed with staff meetings, annual...

SEC, NASAA warn investors to be wary of financial planning titles

September 11, 2013

The alphabet soup confusion faced by investors has led the Securities and Exchange Commission and the North American Securities Administrators Association to issue a note about the plethora of designations used by financial advisers. The SEC...

A 7-step process for building a powerful web presence

September 11, 2013

By Stephanie Sammons Have you started building and growing your online presence beyond a basic website? Did you know that your online presence today affects your credibility, reputation, professional relevance and referral power? Perhaps you've...

TD bets on wealthy U.S. clients to drive parent company profits

September 10, 2013

Toronto-Dominion Bank, Canada's second-largest lender by assets, is ramping up its U.S. asset- management business while doubling the number of advisers for wealthy American clients in an bid to accelerate profit. Toronto-Dominion seeks to build...

MoneyGuidePro takes automating financial plans one step forward

September 10, 2013

PIEtech Inc., maker of the goal-focused financial planning software MoneyGuidePro, today announced the launch of Executive Summary, an interactive tool that allows advisers to automate the review of actions related to a client's financial plan....

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