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Investment Advisor July 2010 Thomas D. Giachetti	The Compliance Coach: An IPS Happy Medium The right and wrong way to build an investment policy statement.
Registered Rep. April 1, 2008 Anne Field	Cranky Clients There are probably at least a handful of, shall we say, "challenging" people you encounter in your office. Here's a look at how to handle four common types.
Financial Planning February 1, 2011 John Knowlton	The Power of a POA Convincing your clients to see a lawyer and do the paperwork to designate a power of attorney may not be a financial planner's first responsibility, but it is an important one.
Registered Rep. April 1, 2006 Gresham & Gresham	The Rewards of Risk Review One thing that everyone should agree on is the need to take a good hard look at the risks a financial advisor can help clients deal with financially, from the risk of having to pay damages in a lawsuit to the risk of outliving their resources.
Registered Rep. June 1, 2004 John Churchill	Questions for the Defense 2004 has been a good year for investors thus far, but you'd hardly know it to look at the number of arbitration filings.
Investment Advisor February 2008 Thomas D. Giachetti	Is an IPS the Answer? Investment Policy Statements can be helpful, but remember, longer documents aren't always better.
Registered Rep. June 1, 2004 Anne Field	The Great Divorce Handled right, divorces can be a new positive for the advisor: In most of the cases one advisor has encountered, she's ended up keeping both exes in the fold after the split-up.
Investment Advisor May 2010 Angela Herbers	The Fast Track: A Marriage of Inconvenience A spouse in a practice almost always results in more problems than it solves.
Registered Rep. January 1, 2005 Jennifer Woods Burke	Not in My Name Under limited circumstances, NASD Rule 2130 allows registered representatives to erase histories of disputes with customers from the CRD system.
Financial Advisor September 2008 Wayne von Borstel	Who's Running Your Practice? One of the toughest obstacles for advisors is telling clients what they need to hear instead of what they want to hear. Some people simply don't want candor. Some people refuse to be coached.
On Wall Street February 1, 2010 Alan J. Foxman	Advisor Sued When Market Is to Blame Legal experts answer questions from advisors who are being sued by clients who have lost money in the financial turmoil.
On Wall Street June 1, 2012 Todd Colbeck	The Joint Venture Solution How do you create win/win relationships with other professionals who will go out of their way to refer you to great prospects and future clients?
Financial Advisor March 2005 Marla Brill	Investing IRAs In Real Estate It may be a controversial investment option, but more clients are doing it with advisors' help.
Registered Rep. June 1, 2004 Kevin McKinley	Fee-ling Good Tips for financial advisors on establishing and maintaining fee-based relationships the right way.
Financial Advisor April 2007 Marla Brill	The Couples Dynamic A new study reveals why financial advisors sometimes feel like marriage counselors.
On Wall Street September 1, 2009 Helen Kearney	What Clients Want Now Clients are upset and they're voting with their feet. But instead of bemoaning your woes, you should view this as a time to prove your worth.
Registered Rep. May 1, 2006 Anne Field	Staying On Top of It While the market is reaching levels not seen in years, financial advisors have much to be wary about given the steady drumbeat of corporate scandals and complaints.
On Wall Street February 1, 2010 Matthew Leung	Improving Asset Retention- Keeping Open Dialogue Is Key The top piece of advice from branch managers: Know where all of the client's assets are located.
Registered Rep. November 30, 2011 Matt Oechsli	It's Time for Inventory: Annual Client Re-Engineering Every businessperson should conduct inventory at least once a year. For advisors, this inventory is the client.
Financial Planning April 1, 2008 John J Bowen	Referrals for the Asking The majority of advisors are ignoring one of the most effective, efficient and obvious sources for new referrals: their existing clients.
Registered Rep. May 1, 2005 Anne Field	Refer Madness When it comes to finding new business, referrals, of course, are the gold standard. What could be a more effective marketing tactic than having existing accounts or business associates urge their own network of friends, family and clients to seek you out?
Investment Advisor November 2006 Thomas D. Giachetti	Defining Fiduciary What is a financial advisor's true fiduciary duty?
On Wall Street June 1, 2009 Alan J. Foxman	Anyone Around Here Know a Good Lawyer? Financial advisors ask their legal questions.
Registered Rep. March 1, 2006	Whose Lawyer Is It Anyway? Q: My firm and I have been named in an arbitration filed by a former client. The firm agreed to provide me with a lawyer who is representing it, too. Do I have any reason to be concerned about this joint representation?... A: This is the classic problem that many brokers face... etc.
On Wall Street July 1, 2009 Alan Foxman	Expunged Arrest from Past Still Haunts Advisor Readers questions regarding expunged arrest, private placements, and arbitration actions against advisors are answered.
Investment Advisor January 2006 Steve Moeller	The Business of Advice: When Talk Isn't Cheap Have bigger conversations with financial advisory clients; both of you will benefit.
National Real Estate Investor August 1, 2006 Stephen Crawford	Saving on Title Insurance In an effort to reduce the cost of title insurance by 30% or more, commercial real estate developers, investors, and lenders are increasingly forming partially or wholly owned title insurance agencies to service their own real estate acquisition, disposition, and refinancing activity.
On Wall Street September 1, 2010 Aarti N. Maharaj	Five Questions With Amy Strong Joining Financial Research Corp. as a research analyst in 2007, she examines the state of the industry and marketing effectiveness.
Investment Advisor June 2008 Dan Allison	Just Ask Them Consider using focus groups to sharpen your marketing efforts -- you might also gain some clients in the process.
Financial Advisor October 2010 Roy Diliberto	Solutions Looking For Problems As financial life planners, we need to be watchdogs for inappropriate advice that others suggest to our clients.
Investment Advisor May 2008 Thomas D. Giachetti	Got Unhappy Clients? How to protect yourself from client complaints in volatile times.
Registered Rep. August 1, 2004 Alison K. Jimenez	On the Hot Seat As the number of arbitrations filings increases, so too do the odds that you will be called to appear in a regulatory hearing. Registered reps are often summoned to testify about a co-worker or about someone they supervised.
On Wall Street January 1, 2013 Todd Colbeck	Establishing an Annual Client Service Model Deploy a strategy that runs itself and thrills your clients, allowing you to provide better service with less effort.
Financial Advisor December 2003 Bill Bachrach	The Undisputable Truth Your time is limited, so working with ideal clients is essential.
Financial Advisor July 2007 Dave J. Drucker	The Financially Illiterate Spouse How can financial advisors plan for a couple when one spouse won't participate?
Investment Advisor January 2006 Dan Wheeler	Tools of the Trade: Five Building Blocks Financial advisors often ignore their own business practices and procedures for delivering a great client experience. As a result, they wind up disappointed with their level of success. To take care of business, follow these steps.
On Wall Street July 1, 2011 Todd Colbeck	How to Avoid 12 Big Marketing Mistakes The primary principle of building a marketing plan is to use a comprehensive and strategic approach. Here are mistakes to avoid and advice on how to do it right.
Financial Advisor July 2006 Mark Goldberg	Seat Belt Or Life Raft? Arbitration can be a traumatizing experience for financial advisors. In most instances, there is a genuine misunderstanding. Are we willing to ask ourselves if we did a good job communicating?
Financial Planning January 1, 2009 Stephanie Bogan	Makes You Stronger For the financial advisory profession, the true test of these times will not be measured by portfolio returns, but by the ability of the independent advisor to traverse troubled waters and stand soundly upon the opposite shore.
On Wall Street November 1, 2012 Elizabeth Wine	10 Biggest Estate Planning Mistakes 10 tips to prevent the missteps that cannot always be repaired after the client s death.
On Wall Street December 1, 2010 Alan J. Foxman	When FINRA Intervenes Even non-member firms (such as registered investment advisors) can voluntarily agree to use either FINRA's arbitration or mediation services.
Financial Planning January 5, 2008 Bob Veres	Services Out of the Box Here's how to make your clients feel special without adding a lot of extra work to your own schedule.
On Wall Street October 1, 2008 Larry Silver	Keeping It Simple Perhaps the best investment strategy for these volatile times, shared by the most successful advisors, was quite simple: Remain fully invested in a basically conservative, diversified portfolio..
AskMen.com Michael Estrin	Estate Planning 101 Hands-on information about planning, wills, probate, attorneys, and more.
On Wall Street June 1, 2012 Alan J. Foxman	Keeping Client Secrets I have a husband and wife who are both clients of mine. Recently, the wife inherited some money and doesn't want her husband to know what she's doing with it.
Registered Rep. November 1, 2004 Daniels, Leibell & Prince	Ado About I Do Here are four steps to a properly planned estate for a client in a nontraditional family.
Investment Advisor August 2009 Tere D'Amato	Expert's Corner: Time to Talk Insurance Advisors should make sure clients' insurance portfolios are in great shape because they may need them now more than ever.
Financial Advisor July 2005 Bruce W. Fraser	How To Successfully Select An Estate Planning Attorney In this litigious era, there's reason aplenty for having a formal process in place for selecting an estate planning attorney for your financial planning team and not leaving it, say, to a chance meeting of someone at lunch or a seminar who seems to fit the bill.
Financial Advisor August 2012 Bill Bachrach	Don't Undervalue Your Work Five ways advisors leave money on the table.
Financial Advisor March 2005 Katz & Evensky	Investment Performance Vs. Wealth Management A survey of high-net-worth clients and their advisors reveals a marked difference in perception between the two groups, particularly regarding value, advice and performance.