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Pace of B-D shutdowns slowed in first quarter
The number of broker-dealers closing each month still far outpaces the opening of new firms, but the shutdown…
For succession to be success, advisers must face their fears
Writing a succession plan isn't too difficult. Overcoming the concerns that inhibit advisers from tackling the project in the first place is.
Occupy Wall Street draws mixed reactions from advisers
A majority of financial advisers don't support the Occupy Wall Street movement, but they are more evenly split when it comes to the broad themes espoused by the protesters: imposing higher taxes on the wealthy and tougher regulations on big banks
Finra files more cases, levies more fines in ’11
Enforcement actions and fines by the Financial Industry Regulatory Authority Inc. jumped sharply last year, with the latter…
Firms’ lack of job description, career path turns off recruits
Financial advisers may be ready to hire this year, but many aren't in a position to attract the brightest young candidates, according to a recent survey and participants in a related recruiting round table last week.
A blueprint for getting organized
Like the old proverb about shoemakers' children going barefoot, many financial planners spend their professional lives organizing the affairs of others though their own businesses are in disarray.
Support for financial reforms strong with those over 50: AARP
More than half of those surveyed by AARP want Dodd-Frank reforms on consumer protection implemented
Commission addiction limiting adviser breakaways: Survey
More than half of financial advisers at major financial firms like the idea of becoming RIAs, but many…
Raise age for Social Security, affluent Americans say
Affluent Americans support raising the Social Security age because people are living longer, according to a Bank of…
Wealthy to invest more in commodities, cut cash: Survey
Wealthy investors will shift more money into commodities, real estate and direct investments in private companies, a survey has found.
Holding the line on prices is key to profitability
Advisers need to fight the temptation to cut the fees they charge their clients.
Commodities are now mainstream: Survey
With a a third of broker reps and indie advisers allocating to precious metals, commodities are now mainstream
Plan advisers want cost info first when talking to wholesalers
Retirement plan advisers are most interested about fees and expenses when talking to fund wholesalers.
Most advisers overstating their expertise: Cerulli study
A survey of more than 1,500 financial intermediaries over the past year found "pattern of misrepresentation"
Little enthusiasm for equities among advisers
Last year's stock market volatility has taken its toll: Financial advisers are a lot more skittish about equities now than they were at the start of 2011.
Advisers fear Europe’s problems will spread to U.S.
Financial advisers are increasingly worried about how U.S. stock markets will perform in 2012, fearing that the troubles in Europe will drag down the economy in the U.S.
Commiseration the theme of a volatile 2011
A survey by the SEI Advisor Network found that wildly volatile markets in 2011 presented an opportunity for advisers to reach out more to clients and strengthen existing relationships.
Market roller coaster hot topic of client talks
Financial advisers are going on the offensive in terms of reaching out to clients to discuss market conditions, and most of the conversations center on market volatility.
Aon survey: Slowdown still No. 1 risk
An economic slowdown remains the No. 1 risk facing businesses, according to Aon Corp.'s biennial Global Risk Management Survey of global risk managers and chief financial officers
Affluent anxious about retirement, too, Wells Fargo finds
Affluent investors are just as anxious about having enough money to retire as everyone else.
