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Registered Rep.
April 1, 2007 |
When Achievement is Bull State regulators are moving to ban certain designations from marketing materials to better protect seniors. Financial advisors using senior designations to con seniors are often caught too late.   |
Financial Planning
February 1, 2008
Marianne Czernin |
Compliance In effect now are stricter requirements to protect investors age 65 and over. Advisors, read on to see which areas you need to be vigilant in. |
BusinessWeek
February 26, 2007
Lauren Young |
Financial Pedigrees--Or Blarney? A guide to decoding the dizzying array of acronyms on your financial adviser's business card. |
Registered Rep.
February 7, 2007
Halah Touryalai |
Alphabet Soup: Massachusetts May Ban Some Advisor Designations Advisors who hold certain obscure professional designations may want to think twice about touting their alleged specialties on their business cards, mailings or other advertisements -- at least in the state of Massachusetts. |
Financial Planning
December 1, 2006
Jane Worthington |
Compliance Tips As a financial services professional, you should welcome questions from seniors and be prepared to answer them, no matter how basic. |
Investment Advisor
October 2007
Melanie Waddell |
Helping the Most Vulnerable Retirees Lawmakers, the Securities and Exchange Commission, and state regulators are bent on making sure advisors with designations touting expertise when it comes to helping seniors, the most vulnerable retirees, are closely scrutinized. |
Investment Advisor
December 2007 |
The Certification Advantage Many different designations have been designed to aid advisors in servicing elderly clients correctly. Read on about three common certifications. |
Registered Rep.
May 17, 2007
Halah Touryalai |
Massachusetts Enforces Rules On Use of Senior Designations The state's Securities Division adopted the nation's first regulation requiring advisors to advertise only accredited credentials, or credentials that can clearly demonstrate that they call for meaningful expertise, when offering financial advice to elderly clients. |
On Wall Street
September 1, 2009
Alan Foxman |
"Senior" Designations Can Be Touchy Subject For Your Firm Questions about "certified senior advisor" designation... Buying stock of companies in bankruptcy... |
Registered Rep.
August 7, 2007
Kristen French |
Senior Fraud Crackdown Continues The second annual "Seniors Summit" is meant to examine ways in which regulators and other groups can help prevent the overwhelming amount of senior fraud being committed in the securities industry. |
Financial Planning
August 1, 2006
Donald Jay Korn |
Daunted by Designations? As the number of expert designations heads toward triple digits, financial planners must decide which -- if any -- they really need. |
Financial Advisor
October 2008
Tracey Longo |
Unwanted Scrutiny One of the quickest ways to get regulators' attention these days is to single out retirees and seniors in your advisory firm's marketing initiatives. |
Registered Rep.
May 1, 2006
Barry Rehfeld |
Alphabet Soup There are ways for reps to become authentic financial advisors, like the courses offered by continuing education groups and it seems that many advisors are, in fact, taking them. With designations proliferating like ragweed, they have come under fire from a number of public officials lately. |
The Motley Fool
September 13, 2007
Tim Beyers |
How to Beat a Retirement Scam Here are three tips from a retirement expert on finding a worthwhile money manager, and to prevent yourself or someone you know, from becoming the victim of a retirement scam. |
Registered Rep.
April 27, 2011
Kristen French |
CIMA Aims High: Seeks to Replace Series 7, 65 As Industry Standard The Investment Management Consultants Association announced Wednesday that its popular CIMA certification is now accredited by the American National Standards Institute, making it the first of the major wealth management designations to meet international ISO standards. |
Financial Advisor
October 2007 |
Frontline News Congress Grills "Senior" Advisor Designations... Live Long And Prosper... Fidelity Planning Income Annuity... Mansueto To Receive Award... Fiduciary Network Buys Brightworth Stake... etc. |
Financial Planning
June 1, 2005
Ed McCarthy |
Sorting Through Certifications Continuing education designations for financial planners are proliferating at a dizzying pace. The specific designations matter less than the content of the courses. Here's a sampler. |
Investment Advisor
September 2005
Kathleen M. McBride |
Building a Brilliant Career Larry Barton of The American College offers words of wisdom on how to be a successful financial advisor. |
Investment Advisor
March 2008 |
Certified You might want to investigate acquiring these designations to increase your knowledge and expertise of serving elderly clients. |
Registered Rep.
May 1, 2004
John Churchill |
Helping Advisors Cope with Aging, (Their Clients) Reps now have another designation to pin to their names. The American College of Bryn Mawr, PA has unveiled its newest specializaion: Chartered Advisor for Senior Living (CASL). |
The Motley Fool
October 27, 2007
Elizabeth Brokamp |
Making Sense of Financial Credentials Shouldn't you know who's handling your money? |
Financial Advisor
February 2009
Sherri Scordo |
Frontline News Broker-Dealer View On Regulation... Tax (Saving) Season Is Here... Credit Crisis May Hurt Wealth Management... ChFC Requirements Get Tougher... |
Investment Advisor
June 2006
Melanie Waddell |
Retirement Planning: News & Products Baby boomers and seniors -- don't confuse the two... SEC Chairman Christopher Cox is on his own crusade to fight senior fraud... John Hancock introduced a new survivorship universal life insurance policy... etc. |
Financial Advisor
May 2004 |
Frontline News Saving for college costs through 529 plans is a strategy that's gotten a lot of attention from advisors and their clients during the past few years. Lately, however, the investment vehicles are undergoing a different type of scrutiny: investigations by regulators. |
Financial Planning
November 1, 2011
David E. Adler |
The ABCs of Planner Titles Do you know your REBC from your CEBS, your CIMA from your CMA, and your PFS from your RFC? |
The Motley Fool
March 3, 2004 |
Alphabet Soup of Advisors What are all those fancy acronyms embossed on financial advisors' letterheads? While these designations don't ensure that the person does good work, they do say the person has had some training and experience, and perhaps a lot of it. |
The Motley Fool
December 14, 2010
Dayana Yochim |
How to Tell Your Advisor's Real Agenda This four-step background check will reveal whether you're about to get sound advice, or advice that just sounds good. |
Registered Rep.
May 1, 2005
Kristen French |
Go to the Head of the Class This financial advisor and winner of an Outstanding Broker Award for 2005 loves learning, and his clients love him for it. |
Commercial Investment Real Estate
Nov/Dec 2010
Gloria Bowman |
Two Of A Kind Land specialists bet on dual designations to win business. |
Investment Advisor
April 2008
Elizabeth D. Festa |
FINRA and SEC Look to Build Bridges Seminars for chief compliance officers includes recommendations for keeping the lines of communication open between broker firms, the Financial Industry Regulatory Authority, and the Securities and Exchange Commission. |
Investment Advisor
March 2007
Melanie Waddell |
States' Rights The North American Securities Administrators Association's agenda includes preserving state regulators' authority. |
The Motley Fool
September 21, 2007
Dan Caplinger |
Don't Lose Your Life Savings After a lifetime of hard work, seniors should be able to sit back and enjoy their retirements comfortably. But beware, con artists and disreputable professionals have singled out the elderly as targets for scams and fraud. |
The Motley Fool
April 30, 2010
Dayana Yochim |
4 Questions Only the Best Money Pros Can Answer How to find an advisor who gives sound advice, not advice that just sounds good. |
Registered Rep.
April 15, 2015
Megan Leonhardt |
Regulators Concerned B/Ds Recommending Unsuitable Products to Seniors With seniors more dependent than ever on their investments for retirement, regulators have found a number of broker/dealers may have recommended unsuitable products and not adequately disclosed risks. |
On Wall Street
October 1, 2013 |
Five Questions with A. Heath Abshure A. Heath Abshure, the outgoing president of the North American Securities Administrators Association discusses his tenure. |
Investment Advisor
August 2010
Melanie Waddell |
Will the States Be Able to Regulate Big RIAs? State regulators and the Securities and Exchange Commission (SEC) will meet soon to iron out the details of shifting nearly 4,000 advisors from federal to state supervision. |
Investment Advisor
May 2006
Robert F. Keane |
Service, Service, Service Wealth manager Tom Orecchio has built his career on service to his clients and the profession. The plan is working. |
Investment Advisor
November 2007
Elizabeth D. Festa |
Institutional Approach for Individuals As a senior financial advisor, Leon James applies the quantitative analysis and strategic asset allocation used with his institutional clients to individuals who are retiring. |
Investment Advisor
March 2008
Maya Ivanova |
The Right Match To meet the needs of aging clients, advisors need to be educated and responsive. |
Financial Planning
March 1, 2008
Stacy Schultz |
5 Questions with Melaine Kimmel Five questions about Kaplan Financial, which provides education and compliance solutions for financial professionals, advisors, agents, registered reps, and their supervisors. |
Investment Advisor
March 2007 |
March 2007 NASAA reported that between 2004 and 2005, 26% of the 3,635 state enforcement actions dealt with the financial exploitation of seniors... Financial Services Institute Chairman John Simmers announced FSI will issue a white paper... etc. |
The Motley Fool
September 11, 2007
S.J. Caplan |
No Free Lunch Regulators are still clamping down on "free lunch" scams targeted at seniors. A recent investigation has revealed these sessions to be high-pressure sales pitches of misleading claims and unsuitable financial products, and even fraud. |
On Wall Street
April 1, 2011
Alan J. Foxman |
The Whole Truth Advisor Q&A: Disclosure of conflicts of interest... Clients testimonials as advertising... Advisor representatives and outside business activities... Form ADV on a CD... Qualifications needed on Form ADV... |
On Wall Street
February 1, 2011 |
Five Questions With David Massey The deputy securities administrator for the state of North Carolina, began a one-year term as president of the North American Securities Administrators Association in September. |
Financial Planning
February 1, 2008
Bob Veres |
Death by Regulation The financial planning profession is about to fight for its survival against well-funded opponents. Here are some possible outcomes. |
The Motley Fool
July 21, 2005 |
Varieties of Financial Advisors If you're in the market for a financial advisor, you've probably been confused by all the different credentials that various pros have. To help you decipher those fancy clusters of letters embossed on letterheads, we spell out the most common -- and not-so-common -- credentials here. |
Financial Planning
July 1, 2010
Jeanne Lee |
Reform Lite The 1,600-page financial reform bill passed by the Senate in May still doesn't do enough to enhance consumer protections for individual investors, some industry observers say. |
Financial Planning
March 1, 2010 |
What's Happening to Regulation? Whether we like it or not, we do live in a post-Madoff world, and it's impossible to separate his crimes from the dialogue surrounding regulatory reform. |
Registered Rep.
February 1, 2003
Pamela J. Black |
The Enforcers In the U.S., NASAA, the North American Securities Administration Association, is the association of the 50 state securities regulators responsible for efficient capital formation and grass roots investor protection. |
Financial Planning
November 1, 2012
Bob Veres |
Financial Advisors May be Subject to Uniform Rules If we want uniform rules on investing recommendations, why stop at advisors? If Congress and our regulators are indeed serious about protecting the best interests of consumers, then perhaps it's time they took a wider view of financial advice. |
