New Hire Roundup: NAPA Announces New President
Also in new hires, Jeffrey Boujoukos was named by SEC as assistant regional director in Philadelphia.
Retirement Planning, Not Social Security or LTC, Dominates Advisors’ Client Discussions
Retirement planning is the No. 1 topic of discussion between advisors and their clients, according to an IRI study.
LPL Financial Fined $950,000 by FINRA Over Alt Sales
LPL's sale of alternative investments, including nontraded REITs, violated concentration limit guidelines, FINRA said.
Matching Clients’ Asset Location With Their Asset Allocation
Taking a holistic approach to your client’s portfolio(s) is the only way to successfully maximize returns, not to mention you'll be adding value.
New Hire Roundup: Murphy, Fredrickson Move Up at SEC
Meanwhile, Arbor Point Advisors added Jeffrey Schmaltz and Justin Neuberg joined Convergence Investment Partners.
Having Fun While Experiencing Constant Rejection
Sales statistics — the number of no’s per yes — can be grim. Is it possible to succeed at sales while having a good time?
Millionaires’ Favorite Alt Investment: Real Estate
More than three-quarters of millionaires invest in real estate and more than a third own REITs, Morgan Stanley says.
Regulators Zoom in on Leveraged, Inverse ETFs
Is labeling really the issue, or does the sector require better rulemaking and clarity?
Senator Concerned Over Treasury’s SIFI Report on Asset Managers
Issues have been raised about “the integrity” of the study on systemic importance of asset management firms, says Senate Banking's Crapo.
The Financial Advice the Next Generation Needs
Our target clients aren’t under 30. That’s not where the money is. But ignoring them and their situations is shortsighted in the extreme.