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Financial Advisor
July 2005 |
Advisor Emporium Phoenix Launches Program For Advisors To Target Businesses... S&P's CUSIP Service Bureau Launches New Delivery Service... Jefferson National Offers Flat Insurance Fee For Annuities... The Hartford And Protective Offering Term Life Quotes Online... etc.   |
Financial Planning
July 1, 2005 |
New Products Alternatives... Insurance... Mutual Funds... Practice Tools... |
Financial Advisor
July 2004 |
Commonwealth Offers Retirement Plans For Small Businesses and More Each plan type has no proprietary requirements and is available in both single and multi-fund platforms... NewRiver Launches FundPOINT Desktop... Bear, Stearns System For Advisors... Standard & Poor's Bond Pricing Service... etc. |
Financial Advisor
March 2006 |
Frontline News AST Trust Purchases Capital Trust Co. Of Delaware... Intuit Poised To Release PortfolioMinder... Financial Advisor Plans Top RIA Ranking... Morningstar Workstation Available At TD Ameritrade... Rule Is `First Step'... etc. |
Registered Rep.
September 1, 2004
Namita Devidayal |
A Fitting Problem Having found the securities industry severely wanting in its policing of research conflicts, market-timing and fee disclosures, the regulators are looking to see if similar abuses exist in the insurance industry. |
Investment Advisor
August 2005
Mark Tibergien |
Formulas for Success: Independence Day There is a growing trend toward registered reps moving out of the wirehouse environment -- a trend invisible to most, but obvious to the country's leading custodians: they are actively wooing breakaway brokers. |
Financial Advisor
November 2008 |
Frontline News News for the Financial Industry: Tumult Could Expand Ranks Of RIAs... M&A Activity Remains Healthy... Independent B-Ds: Don't Tread On Us... Who Has The Most Satisfied Advisors?... The Business Of Serving Business Owners... etc. |
Registered Rep.
May 18, 2010
Alan Lavine |
No-Load Annuities Gain Momentum As more wirehouse registered reps join RIAs or start their own, as income tax rates rise, and as Baby Boomers continue their march into retirement, expect investments in no-load variable annuities to grow. |
Financial Advisor
January 2006
Raymond Fazzi |
Declaration Of Independence More financial planners are leaving wirehouses to become fee-based RIAs. |
Investment Advisor
December 2005
Andrew Gluck |
The Gluck Report, Part I: The Big Three's Tech Plans for 2006 New tech initiatives from the leading custodians have lots of features aimed at attracting and winning over RIAs without making them feel like they're losing their independence. We talk to the tech heads at Schwab, Fidelity, and TD Waterhouse. |
Financial Advisor
December 2003 |
Advisor Emporium New Communications System Will Help SMA Industry... Rydex Program For RIAs... ICON Funds Names Managers... etc. |
Wall Street & Technology
June 18, 2007
Penny Crosman |
Technology Upgrades Improve Derivatives Processing The DTCC, SwapsWire, major broker-dealers and custodians, such as State Street, all are upgrading their technology to bring derivatives processes into the 21st century. |
Financial Advisor
February 2004
Sydney LeBlanc |
Stature, Service, Size, Simplicity Schwab, Fidelity and Waterhouse are building sophisticated SMA (separately managed account) platforms. |
Financial Advisor
November 2005 |
Frontline News First Allied To Finance Reps' Acquisitions... CFP Board Names Three New Members... Bradley Heads Merged TD Ameritrade Advisory Unit... Fidelity Upgrades Advisor CHANNEL Platform For RIAs... etc. |
Financial Advisor
March 2005 |
Advisor Emporium Allstate Variable Annuity Features Innovative Options... Commonwealth Launches Marketing Campaign... SSgA Launches "Portfolio Constructor" Investment Tool... Fidelity Launches International Fund... etc. |
Insurance & Technology
July 21, 2010
Nathan Golia |
ACORD Adopts DTCC File Formats The Depository Trust & Clearing Corporation's formats is part of ACORD's move toward industry-wide data exchange standards, the organization says. |
On Wall Street
October 1, 2012
Dave Lindorff |
Indexed Annuities Grab the Spotlight Indexed annuities have gained popularity while variable annuities have softened, as the players on the buy and sell side change. |
Financial Advisor
October 2011 |
Advisor Emporium Commonwealth Launches New Management System... Lincoln Enhances Series Of Funds... ByAllAccounts And Redtail Form Partnership... etc. |
Registered Rep.
December 1, 2006
Anne Field |
The Metamorphosis If you are ready to go out on your own as a registered investment advisor, you're likely to encounter a host of tricky problems and stumbling blocks. Here's a look at five of those problems and what you can do about them. |
Financial Planning
February 1, 2006
Patrick Ferrer |
Annuities Special: Fee Factor When your clients buy annuities, do you really know what they're paying for? |
Financial Planning
February 1, 2006
Donald Jay Korn |
Custody Battle Although three custodians now get most of the RIA business, increased competition may lead to more choices -- and more services -- for financial planners. |
Investment Advisor
July 2007
Jonathan Henschen |
B/Ds in the Year 2010 What the future holds for independent broker/dealers: technology... outsourcing... marketing... practice management... succession planning... alternative investments... fees... |
Financial Advisor
March 2004 |
Frontline News Former Securities and Exchange Commission Chairman Arthur Levitt stunned attendees at TD Waterhouse's annual conference in Orlando in early February when, in response to a question, he indicated he was opposed to a proposed rule that would grant exemption from registered investment advisor registration for wirehouse brokers. |
Financial Planning
August 1, 2005
Bob Hirschfeld |
TD Ameritrade's Good Deal The merger of the two online broker-dealers will transform the new firm into a top contender. |
Financial Advisor
July 2004 |
Problems Cited In Broker-Dealers' Variable Insurance Sales and More The newly released study comes as the NASD is proposing new rules governing the sale of deferred variable annuities... Board Of Standards Increases CFP Certification Fee... Technology Continues To Frustrate Advisors, FPA Study Says... etc. |
Financial Planning
May 1, 2010
Bob Veres |
A Profession Comes Of Age As the planning profession reaches maturity, motive and opportunity seem to be conspiring to create a better professional world. |
Registered Rep.
April 6, 2010
Kristen French |
Custodians In Race To Roll Out M&A Tools TD Ameritrade Institutional is rolling out a new online business valuation tool. |
Investment Advisor
April 2006
Andrew Gluck |
Your Best Partners More and more, financial advisors are using technology tools to offer additional services and become more efficient. |
Financial Advisor
March 2004
Tracey Longo |
Making The Grade With Variable Annuity Exchanges With the creation of one-shot wrinkle reducers like Botox, battery-operated automobiles and cloned humans, can a world where there is no need to replace variable annuities be far off? |
Bank Systems & Technology
October 23, 2008
Peggy Bresnick Kendler |
J.P. Morgan Signs on for DTCC's Loan/SERV to Automate Syndicated Loan Services J.P. Morgan has signed on for The Depository Trust & Clearing Corporation's Loan/SERV and will begin using the new suite of services to automate and streamline the processing of their syndicated commercial loans. |
Registered Rep.
May 1, 2008
Alan Lavine |
Variable Annuity Providers Cozy Up To RIAs "In the fee-only community, it's historically been that you literally have the `Scarlet A' if you use annuities." |
Financial Planning
December 1, 2005 |
Industry New Products Alternatives: Restricted Stock Partners has launched the Restricted Securities Trading Network... Insurance: ING has introduced the Secure family of three index annuities... Mutual Funds: John Hancock Funds has launched five Lifestyle Portfolios... etc. |
Financial Planning
September 1, 2005 |
New Products Alternatives: Barclays Global Investors will move the primary listing of 81 exchange-traded iShares... Insurance: The State Life Insurance Co. has released CareGuard long-term-care insurance... etc. |
Registered Rep.
February 1, 2005
Pam Black |
Why More Reps Are Getting Their Kicks on Route 66 What's driving top reps to Series 66 RIA designation is not regulatory rules. It's changes in the wirehouse environment that, newly minted RIAs say, made it harder for them to do their own thing. |
Wall Street & Technology
August 21, 2006
Tim Clark |
Affirmative Action A flood of new solutions hits the credit derivatives space in an effort to stem the risk of backlogged paperwork. |
Registered Rep.
September 1, 2005
Chris O'Leary |
The Trouble With Annuities For registered reps, annuities, one of the most lucrative and complex items in an advisor's repertoire, can appear to be a cure-all for clients. Clients seem to love them, because of the guaranteed income -- even if they don't understand them. |
Financial Advisor
March 2004
Evan Simonoff |
Editor's Note Virtually none of the several dozen advisors I spoke with was dissatisfied with the state of their business. At least if they were, they weren't saying so. |
Financial Advisor
January 2005
Raymond Fazzi |
RIAs Enjoy A Fertile Market Registered investment advisors have an opportunity as more households continue to enter the realm of the "affluent" and seek advice, but they'd better get the operational side of their practices in order. |
Wall Street & Technology
March 26, 2004
Jim Middlemiss |
IT Challenge: Settlement The Challenge: For financial services firms, moving away from batch processing is still a challenge. The DTCC's new inventory-management system offers delivery flexibility and helps firms find efficiencies and increase automation in the settlement process. |
Financial Planning
June 1, 2005 |
New Products Alternatives... 1031 exchange educational Web site... ETF futures contracts on the Nasdaq-100 Index Tracking Stock, S&P 500 Depositary Receipts, and iShares Russell 2000... etc. |
Financial Advisor
May 2004
Raymond Fazzi |
Niche Players Provide More Choices For Advisors Many are trying hard to differentiate themselves---and are succeeding. |
Financial Advisor
October 2011 |
Frontline News Independent Advisors On The Rise... Uncertain Times For BofA Advisors... Gen Y Good Target For Advisors... etc. |
Financial Advisor
December 2004
Ted Schwartz |
Time For Some Changes Are variable annuities the greatest invention since sliced bread or are they a scourge that should be driven from the planet? Here are some suggestions for changes to the industry to take annuities out of the regulators' crosshairs. |
The Motley Fool
February 24, 2004
J. Graham |
Beware of Brokers Bearing Annuities Annuities may sound good, but their costs overwhelm their benefits. Stockbrokers and financial advisors love to sell annuities because of the high commissions they reap. My ex-broker sold one to me, and it has proven to be the most restrictive, highest-cost, least-liquid, and poorest-performing investment in my portfolio. |
Financial Advisor
May 2007
Eric Rasmussen |
What's New At The Custodian Custodians are continuing to offer new services for fee-only planners in their efforts to woo RIAs. |
Registered Rep.
June 27, 2013
David Armstrong |
Editor's Letter: July 2013 In this issue we look at succession planning for advisors -- an event that can either be a rewarding end to a principal's career or a disappointing fade to black. |
Registered Rep.
October 1, 2002
Pamela J. Black |
The Pros and Cons of Annuities With retirement accounts battered by the bear market, guaranteed income from a fixed annuity now has more appeal, especially for clients who may be too close to retirement to count on a rebound from equity markets alone. This article surveys types of annuities, tax implications, and fees. |
Financial Advisor
July 2011
Gail Liberm |
Aiming For Advisors New annuity products and platforms are being designed to appeal to fee-only advisors. |
Registered Rep.
December 16, 2014
Alan Lavine |
Structured Settlements It's possible to earn yields upwards of 6 percent on "secondary market" annuities issued by top-rated carriers such as Allstate, MassMutual, Prudential, AIG, John Hancock, MetLife, Berkshire Hathaway and New York Life. |
The Motley Fool
February 18, 2011
Dan Caplinger |
Are Variable Annuities Right for You? Variable annuity sales are way up, but are they a smart move? |
