Toward a Workable Fiduciary Standard for Brokers: The 7 Questions
To tell if brokers are really acting like fiduciaries, ask these seven questions about a client's portfolio to check for possible broker abuses.
As the Need for Retirement-Minded Advisors Grows, Differentiation Is Critical
Have you positioned yourself for success? The job market is only becoming more competitive for financial advisors.
The 2015 IA 35 for 35
These advisor advocates, investors, politicians and thought leaders have stood out over the past 35 years and will influence financial services for decades to come.
Evaluating Young Financial Planners
Earlier this spring, I visited four CFP Board-registered university programs to ensure we are sourcing the best available talent for the firms we represent.
Chairman-Elect Joe Votava Resigns From CFP Board of Directors
Current Chairman Richard Rojeck to assume duties; new chairman to be elected in June to replace Votava.
This Is What the Fiduciary Debate Is Really About
Financial advisors are taking the lives of their clients in their hands. If advisors don’t understand this, they can do a lot of damage.
11 Reasons Why Putting Brokerage Clients’ Interests First Is a Bad Idea
The reasons raised by the brokerage industry against DOL’s fiduciary proposal are good, but out of the goodness of my heart, I offer some more.
Must Have Certifications And Designations For Retirement Planners
Helping others to realize their dreams is certainly no easy matter. It requires financial smarts, the right credentials, and no small measure of passion.
Wall Street Finally Blinks in Fiduciary Standoff
The securities industry has done a masterful job of deflecting initiatives to force firms to act in clients' best interest. Is it different this time?
A Simple Solution: Let's Call an Advisor an Adviser
Over the past year or so, many advisor industry observers have become disillusioned about the SEC's chances of complying with its Dodd-Frank mandate to create a fiduciary standard for brokers that's “no less stringent” than the 1940 Act.