5 Protection Questions for Older Clients
Since fiduciary duty and regulatory rules require advisors to protect client privacy, you can't simply contact the kids to report a parent's mental slide. However, ignoring suspicious symptoms may lead to later charges of malfeasance by a client's family.
The Advisor's Role in Preventing Abuse
Noting in a jointly published 2008 report that securities professionals are “on the front lines” to spot possible financial abuse of an older client, NASAA, FINRA and the SEC suggested watching for these red flags
Protecting Grandma From Elder Abuse
Imagine a broker driving an 83-year-old widow with Alzheimer's to local banks so that she can withdraw over $1 million from CDs.
A Tad Less Traditional
The credentials following Joshua Hatfield Charles’ name (CFP, ChFC, CLU, ADPA, CEP, CLTC) include the acronym for Accredited Domestic Partnership Advisor, testifying to the Rockville, Maryland, planner's focus on serving the lesbian, gay, bisexual and transgendered community.
Earning Credentials in LGBT Planning
What holds back same-sex couples with good incomes from working with financial planners?
Rainbow Warriors: Working With LGBT Clients
Investment Advisor’s February cover story focuses on how LGBT clients need help protecting their finances from a blitz of varying state laws.
The CFT Training Process
Certified Financial Transitionist training offered through the Sudden Money Institute (SuddenMoney.com) consists of four parts, which can be completed together or individually
Gender and Change
In a survey with More magazine, Susan Bradley asked 222 women whether men and women manage transitions differently. A surprising 95% said yes. The differences fell into three categories.
Communicating (or Not) During Tough Transitions
“One of the things that Sudden Money techniques help us do is structure meaningful conversations,” said Peggy Frye, who completed Certified Financial Transitionist training in 2013.
Navigators: How to Guide Clients Through Big Life Changes
A new certification helps advisors with the human side of guiding clients through major transitions like retirement.