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Larry Roth joins Vestorly's advisory board

June 27, 2018

Larry Roth, the former CEO of Cetera Financial Group and AIG Advisor Group, has joined the advisory board of Vestorly, a content marketing software company serving financial firms. Mr. Roth will help Vestorly develop opportunities in financial...

Missouri lawmaker says don't worry, law won't curb use of CFP designation

June 27, 2018

A Missouri state lawmaker is trying to reassure certified financial planners that a bill recently signed into law won't curb use of the CFP credential. Rep. Derek Grier, a Republican member of the Missouri House of Representatives, was the author...

Former Finra analyst sues agency for age discrimination

June 26, 2018

A 54-year-old former analyst for the Financial Industry Regulatory Authority Inc. sued the agency over his termination, claiming that he was part of a layoff that unfairly targeted older workers. Brian McIntyre, who worked in the self-regulator's...

The black hole of financial planning: Health care costs

June 26, 2018

Affluent older adults are worried about what health care costs, including long-term care expenses, could do to their carefully laid retirement plans. Yet only about half of those who work with a financial adviser have discussed their fears because...

Financial challenges remain for LGBTQ Americans

June 26, 2018

This month marks the third anniversary of marriage equality being extended to same-sex couples throughout the United States, a process that took decades to come to fruition through various actions at the state level, culminating in the U.S....

Merrill adds Zelle to wealth management app to let clients make payments

June 26, 2018

Merrill Lynch is updating its mobile app with some modern features that are increasingly popular among consumers. Clients can now scan and send documents to their Merrill Lynch adviser using their smartphone camera, view activity in their Bank...

LPL Financial taps wirehouse veteran to lead recruiting effort

June 25, 2018

Continuing the churn in LPL Financial's recruiting group, the leader of the unit, Bill Morrissey, managing director and head of business development, is retiring and being replaced by a wirehouse veteran. Mr. Morrissey has been with LPL for...

Buzz Aldrin dust-up highlights the challenges facing older clients

June 25, 2018

Financial advisers working with elderly clients should take heed of the legal brouhaha involving former astronaut Buzz Aldrin and two of his children. Mr. Aldrin, 88, who set foot on moon during the 1969 Apollo 11 mission, has gone to court...

From asset manager to holistic planner

June 22, 2018

As the financial planning industry continues to feel pressure from low-cost digital advice platforms, some advisory firms are embracing the concept of holistic planning as a means of taking the focus away from pure investment management. That's...

Younger millionaires want advice on cryptocurrency

June 19, 2018

Wealth managers should overcome their reluctance to discuss cryptocurrency investments with their younger rich clients, to prevent them from turning to other specialists for advice, according to consultant Capgemini. More than 70% of millionaires...

Trump administration will let small businesses offer cheaper health plans

June 19, 2018

The Trump administration wants to make it easier for small businesses to join together to offer cheaper health-insurance plans that would lack some of the protections required under Obamacare. The U.S. Labor Department said Tuesday that it plans...

Where to find women financial adviser candidates

June 19, 2018

Before starting a job as a financial planning associate last month, Alesstrah Love, 27, worked as a scientist for a pharmaceutical company. She ran tests on new drugs in a laboratory, but found that the work didn't fit her personality. "I'm...

Going independent: Which business model is right for you?

June 18, 2018

As wealth managers consider a move to independence, they come to Pershing with questions about the economics of different business models. And rightfully so, because of all the issues advisers have to address in a transition, nothing comes close...

Wealth managers, stop cutting those fees

June 14, 2018

Wealth managers must stop offering clients unnecessary fee breaks and invest in advanced analytics to boost revenue because the industry faces a "complete transformation" in coming years, a study found. Private bankers generally charge one in...

Always be closing? The end of selling

June 12, 2018

On a recent flight I watched a movie I'd seen decades earlier and marveled at how life has changed. The cult classic "Glengarry Glen Ross," based on David Mamet's Pulitzer Prize-winning play of the same name, is the poster child for the ugly...

5 characteristics of growth-restrained RIAs

June 11, 2018

With competition for assets intensifying across the registered investment adviser marketplace, CEOs of successful RIAs are increasingly focused on aggressive growth strategies to bolster their competitive advantage and add significant value...

Winning over the ultra-rich means cutting them in on mega deals

June 11, 2018

America's last Gilded Age had its "List of 400": the people said to be worthy enough, or at least rich enough, to climb the pinnacles of high society. Today, in an age of affluence not even the Astors and Vanderbilts might have imagined, there...

Why saying goodbye to your clients and business is hard

June 8, 2018

Boomers, do you look your age? If so, clients have likely been wondering how long you will be around to help them with their financial future — and they have probably been wondering this for longer than you think! In fact, clients often feel...

Conflicts of interest on SEC's radar

June 8, 2018

Potential conflicts of interest, and the proper disclosure of those conflicts, should be among the priorities for RIA compliance programs right now. Those potential conflicts at registered investment advisers include not disclosing fees charged...

Catherine M. Keating appointed CEO by BNY Mellon Wealth Management

June 8, 2018

BNY Mellon Wealth Management named Catherine M. Keating as its new chief executive officer and member of its executive committee. The firm has $246 billion in total client assets. Ms. Keating joins BNY Mellon from Commonfund Inc., a nonprofit...

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