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.
Know Your Client
By Staff WriterWhen it comes to providing world-class customer service, longevity can help you understand what individual clients need. For instance, as client relationships develop, you will...
October 01, 2008
LPL Financial Has a New CFOLPL Financial has appointed Robert Moore to serve as its new CFO. He succeeds Bill Maher, who had been with the company since 2005 and...
October 01, 2008
Meet the RichHow do the most affluent, the top 20 percent (quintile), think? What motivates them? Industry consultant Matt Oechsli addresses these issues in his newest title:...
October 01, 2008
NEWS & PRODUCTS, OCTOBER 2008The SEC announced September 11 that it had brought an enforcement action against LPL Financial Corp., saying the largest independent broker/dealer had failed to safeguard...
October 01, 2008
Is Cuomo Hurting Wall Street?Is Cuomo Hurting Wall Street? While New York Attorney General Andrew M. Cuomo and the wirehouse broker-dealers say they are "pleased" with their recent ARS settlements,...
October 01, 2008
Mind Over MoneyIn Act I of his career, James Grubman, Ph.D., collaborated with physicians to help patients battling the psychological stresses of head injuries, strokes and chronic...
October 01, 2008
Universal StandardsIn my last article, I relayed the startling statistic that by the end of this year, the number of non-U.S. CFP certificants will almost surely...
September 30, 2008
From prospect to clientEffective listening is as important as effective planning when it comes to turning prospects into clients. Advisors have to know what the problems are before they can solve them, so asking valuable questions is vital. Bill Brooks is the founder of