Key to 408(b)(2) Compliance: Support, Solid Procedures
The regulatory reform advisors are facing is “nothing less than stunning,” Amy Glynn, president of Pension Resource Institute told attendees at the Center for Due Diligence’s 2011 conference.
Commonwealth Financial Updates CMS; Improves Info Flow for Advisors
Commonwealth Financial Network has released a revised version of its CRM 4.0 contact management system that includes two-way wireless synchronization, an updated Web-based calendar,...
Commonwealth Financial Network Releases Updated CMS for Advisors
Commonwealth Financial Network has released a revised version of its CRM 4.0 contact management system.
FDIC-Insured Sweep Accounts
For clients who like to keep high cash balances, a convenient new program from National Financial may make it easier to diversify cash in different FDIC-insured bank accounts and track it all on one statement.
10 Questions for: Wayne Bloom
Wayne Bloom - CEO of Commonwealth Financial Network and Red Sox fanatic Boomer Market Advisor: What's been your biggest surprise since recently taking the reins at...
Tracking Cash Flow and 'Practicing' Retirement
During clients' working years, the emphasis is on accumulating assets that can generate sufficient income for when the client stops working. The underlying question that...
What Will It Mean to Be an Independent Financial Advisor?
With baby boomers moving into self-funded retirement, the advisor will need to become expert at risk analysis, risk management and financial life planning. There will...
Just as any fashion starts to look old after a season, so, too, does technology. Moreover, those early-adopter advisors who rejoice while playing with the...
It's not easy to change your broker/dealer. When readers cast their ballot for the magazine's annual Broker/Dealers of the Year honors (voting in June; results...
What a remarkable time these last few years have been for independent broker/dealers. The markets have recovered from a bubble, a crash, a grinding bear...