Behavioral Finance
Read about the behavioral finance factors that affect clients and that help advisors tailor the best financial plans and portfolio strategies for investors.
Cetera Grabs Ex-Advisor Group COO to Lead Operations
By Janet LevauxIndustry veteran David Ballard switches firms to work with his former boss Larry Roth in Los Angeles.
April 02, 2015
The Advisor's Role in Preventing AbuseNoting 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
April 02, 2015
5 Protection Questions for Older ClientsSince 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.
April 02, 2015
Obama issues exec order to fight cyber attacksThe executive order creates a new way for the U.S. government to better respond to the "most significant" cybersecurity threats.
April 01, 2015
Obama Issues Order to Fight CyberattacksThe executive order creates a new way for the U.S. government to better respond to the "most significant" cybersecurity threats.
April 01, 2015
Dear NAPFA: Don’t Take a Position on a Political Issue......unless it's on financial issues affecting markets, the economy or clients' well-being. Indiana's Religious Freedom Restoration Act doesn't pass that test.
March 31, 2015
Stock Price Path Drives Investing Decisions: Behavioral Finance StudyWhen a big game ends in a tie, fans' reaction depends on how their team got there. The same goes for stock investing.
March 27, 2015
Royal Alliance Adds $600M Group With 33 RepsAlso, Securities America welcomes back a $100 million team from LPL Financial.