Compensation and Fees
What leading financial advisors, experts and firms are saying about compensation and fees for registered representatives (both independent and employee) and registered investment advisors.
The Fall of the Face-to-Face Client Meeting
By Emily ZulzRecent studies find face-to-face meetings are happening only once or twice a year; most clients, especially younger ones, prefer virtual settings.
June 27, 2014
What FINRA’s Top Execs Earn: ‘Living Large’Last year was a solid one for FINRA and the top executives pay packages werent too shabby, either.
June 19, 2014
Most Advisors Don’t Know Their Own FeesNearly two-thirds of advisors underestimate their fees by more than 30 basis points, a survey by Peak Advisor Alliance and Cerulli found.
June 17, 2014
How one agency moved from commissions to feesMarket shifts are demanding a move from commissions to fees but how do you go about making this change in a profitable way?
June 12, 2014
Advisory Industry Wants More Exams (and Will Pay for Them, Too)On IAA's annual lobbying day, the industry has a very unusual message" for Congress, TD Ameritrade's Skip Schweiss told ThinkAdvisor.
May 27, 2014
Talent Management Top HR Priority at Financial Services FirmsNearly half of respondents in Towers Watson poll said identifying and developing talent was the top focus of their HR division over the next year.
May 22, 2014
CFP Board to Investigate CFPs for Inaccurate Comp DisclosureChair Ferrara says Board will compare public information with Board website listings to identify inconsistencies, starting with CFPs who call themselves "fee only."
May 21, 2014
Commissions vs. fees: What’s best for clients?If you want to start a heated debate among financial advisors, ask which compensation model best serves clients: commissions or fees?