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Live! From TD Ameritrade Institutional: Keep emergency plans updated, or face disastrous consequences from regulators

January 30, 2014

Financial advisory firms need to think seriously about disaster planning and should be conducting annual tests of their preparedness plans if they want to stay out of hot water with regulators. Each year, registered investment advisers need...

Tech that boosts business value

January 29, 2014

Financial advisers become successful by focusing on building their practices — not by planning how they'll leave them. In fact, less than one-third of today's RIA practice owners have a succession plan in place. As registered investment advisers...

CFA exam pass rate increases to 43%

January 28, 2014

A higher percentage of hopefuls for the chartered financial analyst designation passed the first level of their three-part exam in December. Forty-three percent of applicants passed the first test, the CFA Institute said in a statement on its...

Convincing women to build a stake in their financial future

January 28, 2014

An Ohio adviser is using a formal incentive program to encourage her female clients to boost their financial education. Paula Chesser, an adviser with Robert W. Baird & Co. Inc. in Akron, Ohio, created a Savvy Women's Club that hosts eight workshops...

Federal judge allows fee-only case against CFP Board to proceed

January 28, 2014

A federal judge ruled on Sunday that a case against the Certified Financial Planner Board of Standards Inc. revolving around compensation definitions can continue and expand in scope. Judge Richard J. Leon of the U.S. District Court in the District...

Joe Duran: Are you 'living the why?'

January 28, 2014

I was quite surprised by the news of the departure of Mohamed El-Erian from our neighboring investment firm the Pacific Investment Management Co. Since we moved into our offices in the idyllic Newport Beach, Calif., commercial district (appropriately...

Pershing adds Signix digital signature technology to NetX360 platform

January 28, 2014

Pershing has added Signix's digital signature technology to its NetX360 platform, the two firms announced Tuesday at the Financial Services Institute Inc.'s OneVoice 2014 Broker-Dealer Conference. Financial advisers on the clearing provider's...

Krawcheck says advisory business still coming up short in reaching out to women

January 27, 2014

Sallie Krawcheck's bottom line is getting the advice industry to reach out to more women, both as advisers and clients. “Women don't say they need a woman adviser, but I don't think it will hurt if we got beyond 17% of the industry being women,”...

Millennials chary of long-term investing

January 27, 2014

The trauma of the financial crisis is still fresh in the minds of the youngest investors and that makes them hold tight to their cash and dubious about long-term investing. Many millennials, which UBS defines as being 21 to 36, are as conservative...

Health savings accounts gain in popularity

January 27, 2014

Tax-advantaged saving on a federal level is bolstering the popularity of health savings accounts, but clients ought to know that those attributes don't always apply from a state income tax perspective. Health savings accounts, the investment...

Financial advisers can add 3 percentage points to client portfolios: Vanguard

January 27, 2014

A nimble and diligent financial adviser should be able to add about 3 percentage points' worth of measurable alpha to a client's portfolio, according to an upcoming report from The Vanguard Group Inc. Vanguard chief investment officer Tim Buckley,...

An open letter to Next Generation financial advisers

January 24, 2014

“The times they are a'changing.” So said Bob Dylan in 1964. I am fairly certain he wasn't talking about the financial services industry, but now, 50 years later, his message most definitely applies to our world. We are caught in a whirlwind...

Advisers go to extremes to avoid detection when looking for another job

January 23, 2014

From hushed meetings in boutique Japanese hotels in Manhattan to a rendezvous at a Bob's Big Boy restaurant off the New Jersey Turnpike, the lengths to which financial advisers go when interviewing with competing firms can seem like something...

Financial adviser job loses a little luster

January 23, 2014

A new ranking of America's best 100 jobs reveals that the financial advice business is an outstanding profession, even though the sector has slipped down the rankings. “Financial adviser” ranked No. 41 of the 100 Best Jobs of 2014, an annual...

The 10 best business jobs of 2014 - 2014's best business jobs

January 23, 2014

Where does financial adviser rank among the best business jobs in America in 2014? A new list from the U.S. News & World Report ranks the business sector's most promising jobs for 2014. Advisers stack up well compared to other business professions,...

Raymond James net revenue for fiscal first quarter hits record, up 7% from a year earlier

January 22, 2014

Raymond James Financial Inc. rolled along with a record-breaking stock market during its first fiscal quarter and reported quarterly net revenue of $1.2 billion for the quarter that ended Dec. 31. That was up 7% from a year earlier and 5% from...

Advised investors underperformed self-directed ones in 2013, SigFig data show

January 22, 2014

Investors opening their year-end account statements are likely to be reassured that the financial crisis is in the rearview mirror. But clients of financial advisers may not be as pleased to learn that their portfolios underperformed those of...

7 business-building lessons advisers can learn from Amazon

January 21, 2014

Amazon went from nothing to $150 billion in market cap in just 20 years. What can you learn from its success and apply to your own firm? Brad Stone's new book, "The Everything Store" (Little, Brown & Co., 2013), chronicles the rise, fall and...

New mobile app and website target secretive world of adviser recruiting

January 21, 2014

AdvisorHub, a new mobile application and website, was launched Tuesday with the goal of bringing more transparency to the secretive world of financial adviser recruitment. Launched by wealth management recruiter Andrew Parish with the help of...

Review marriage implications with same-sex couples – or be on the hook

January 21, 2014

Financial advisers who meet with married same-sex clients and don't review how last year's Supreme Court decision affects their financial and retirement plans face regulatory risk. In a key decision last year, the Supreme Court found Section...

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