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Financial Planning
July 1, 2013
Scott Wenger |
FPA's Michael Branham: Succession on His Mind The FPA s president says advisors of all ages should be thinking about the next chapter of their careers.   |
Registered Rep.
June 1, 2004
Allen Plummer |
Over the Top There's one big problem with being on top, and the organization that administers the Certified Financial Planner designation is in the process of learning all about it. |
Financial Advisor
February 2, 2009
Sherri Scordo |
Advisor Emporium Pershing assists advisors going independent... New advisors receive technology assistance... FPA offers best practices tools... Direxion enters ETF market... Foliodynamix joins communications gateway... Scottrade adds portfolio director... |
Investment Advisor
February 2008
Angela Herbers |
Barring the Door How to stop training your (future) competition. |
Registered Rep.
October 23, 2006
John Churchill |
Opulence (and a Wee Bit of Strife) at FPA Confab in Nashville Education and networking were on order at the recent annual Financial Planning Association conference. |
Investment Advisor
January 2008
Kathleen M. McBride |
Big Brokers and Planning FPA is embracing major firms, reaching out with ways to help captive broker/dealer, bank, and wirehouse executives and their reps to shift part of their firms to an advisory model. |
Investment Advisor
October 2009 |
GroupThink Professional association news: Charles Moran new chair-elect of the Certified Financial Planner Board of Standards' Board... The Financial Planning Association profession's 40th anniversary... The National Association of Personal Financial Advisors is continuing its 12-month program... |
Financial Advisor
June 2004 |
Letters To The Editor Advisors Should Evaluate Annuities... Clearing Up Confusion... |
Financial Advisor
December 2005 |
Frontline News Fee-Only Practices Are The Most Profitable... FOLIOfn Subsidiary Launches Proxy Compliance Service... Advisors Got Wealthier, And Happier, In 2004, Says Survey... FPA Names Nicolette 2006 President-Elect... etc. |
Financial Advisor
September 2006 |
Frontline News Optional Fiduciary Stance Challenged... Retired Widow Wins Fiduciary Case Against Advisor... Investors Still Expecting High Returns... Investors Want Choice... Advisors Optimistic About Growth Prospects... etc. |
Financial Advisor
April 2008 |
Frontline News Tumult At CFP Board's Ethics Commission... FPA Says No To FINRA Or SEC Oversight... Client Loyalty Counts For Only So Much... Investors Flock To Socially Responsible Investing... Sanders Morris Buys Half Of Leonetti & Associates... etc. |
Registered Rep.
April 11, 2014
Diana Britton |
Is the CFP Board Losing Credibility in the Eyes of Advisors? WealthManagement.com surveyed 321 CFP holders and found that one-third believe the recent scandals detract from the perceived value of the designation. |
Financial Advisor
July 2011
Andrew Gluck |
Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance. |
Financial Advisor
May 2007 |
Frontline News Don't Party Like It's 1999... CFP Board Moving Headquarters... Advisors Settle Multimillion Lawsuits... FPA's New Fiduciary Standard For All Planners... Mesirow Advisors Become RIAs... |
Investment Advisor
February 2010 |
Soapbox: Here's What We Were Thinking The Financial Planning Coalition is glad to see Bob Clark's vociferous advocacy of a fiduciary standard of care for individuals who dispense financial planning advice, but not so glad of his inability to let go of the past. |
Investment Advisor
November 2007
Kara P. Stapleton |
Conversation Obligation Involving the client in retirement planning helps grow advisors' business. |
Financial Advisor
August 2007
Tracey Longo |
What's Your Retirement Brand? Unless you're branding yourself a retirement income planning specialist and it's clear in clients' minds you're going to do retirement income planning for them, your client relationships honestly may be in peril. |
Investment Advisor
October 2007
K. McBride & K. Stapleton |
Birds of a Feather More than ever, the professional associations that cater to financial planners and advisors are having a meaningful impact outside the planning community itself, among consumers, in the courts, and on Capitol Hill. |
Investment Advisor
July 2008 |
Group Think The CFP Board has filed a comment letter with the SEC welcoming the Commission's proposal to improve the quality of information that investment advisors must provide to clients and prospective clients. |
Investment Advisor
January 2010
Bob Clark |
Clark at Large: The Riddle of the CFP Board Have you ever wondered what those folks at the Certified Financial Planning Board are thinking? |
Investment Advisor
February 2010
Bob Clark |
Clark at Large: Declaration of Independence Starting with fiduciary duty, I propose standards for a new profession. |
Investment Advisor
February 2009
Melanie Waddell |
Teaming Up for Change The National Association of Personal Financial Advisors, the Financial Planning Association, and the Certified Financial Planner Board of Standards -- which have joined forces to lobby Congress on financial services reform -- christen themselves the Financial Planning Coalition. |
Investment Advisor
July 2009 |
Group Think Association news: MD Preferred Service Network, an online physician resource center, is working with NAPFA to launch the MD Preferred Financial Advisor Network... Investment Adviser Association has announced a new slate of officers for the coming year... more... |
Investment Advisor
December 2005
Kathleen M. McBride |
The History of Financial Planning It's been a rocky ride for planners over 25 years. Financial planning today has become less associated with any product or investment type at all and far more associated -- as it should be -- with individual investor planning and investor needs. |
Financial Advisor
August 2010
Roy Diliberto |
An Elusive Profession Work still needs to be done so that clients, regulators and the media view and understand us for what we -- financial planners -- are. |
Financial Advisor
November 2012
Karen DeMasters |
FPA Membership Slide Stabilizes A free fall in the Financial Planning Association's membership over the last few years has stabilized, and the organization's new leaders say they're hopeful a turnaround is in the offing. |
Financial Advisor
February 2004
Tracey Longo |
Small Businesses Confused About Retirement Plans The SBA and Nationwide Financial say advisors can help. |
Investment Advisor
January 2010
Melanie Waddell |
Retirement Planning: Retirement Income a Riddle Advisors are still searching for best method to deliver retirement income. |
Financial Planning
August 1, 2013
Ann Marsh |
New Risks For Advisors? A recent CFP Board sanction highlights the challenge for planners in identifying where they stand amid the range of compensation models. |
Financial Advisor
November 2004 |
Frontline News New CFP Board CEO Offers Her Ideas... FPA Has Its Day On Capitol Hill, Mixing Planning With Politics... Investigations May Aid Lawsuit To Rollback Broker Exemption... RIA Business Boomed in 2003, But Profit Margins Shrank... etc. |
Registered Rep.
October 29, 2013
Diana Britton |
Designation Fatigue? Fewer advisors are pursuing or holding designations this year, according to WealthManagement.com's 2013 AdvisorBenchmarking RIA Trend Report. |
Investment Advisor
July 2006 |
Group Think Starting July 1, NAPFA will launch its "Focus on Fiduciary" campaign... A recent member-wide survey of the FPA found that its members believe that financial planners should be held to a fiduciary standard.... etc. |
On Wall Street
November 1, 2010
Gallant & Schneider |
Navigating The Retirement Business The demand for retirement income support will continue to grow rapidly in the coming years as the aging of the baby boom generation is inevitable. |
Registered Rep.
May 20, 2011
Diana Britton |
Fee-Only FAs Positioned Well to Capture Retirement Plan Assets Fee-only financial advisors are well-positioned to capture retirement plan clients because of their fee transparency and their business model's alignment with ERISA. |
Investment Advisor
January 2007 |
Briefs The Certified Financial Planner Board of Standards announced that applications for its 2007 Financial Planning Grants program will be accepted...The Securities Industry and Financial Markets Association released the results of its 10th annual Review of Electronic Transaction Systems... etc. |
Financial Planning
April 1, 2012
Donna Mitchell |
The BIG Fix Familiar as 401(k)s are, planners love to hate them, and they'll readily cite long lists of faults with the plans themselves, as well as the way the $2.8 trillion 401(k) industry operates. |
Registered Rep.
December 1, 2006
John Churchill |
Of Two Minds An internecine argument at the FPA gets to the heart of one of the industry's more vexing problems: Should brokers be able to position themselves as financial planners? |
Financial Planning
September 1, 2008
Bob Veres |
The Price of Going Pro Some financial advisors today believe that by striving to create a profession, they may actually be aiming too low. |
Financial Planning
January 1, 2007 |
Movers & Shakers 2007 These eight leaders are shaping the future of the financial planning industry. Ben Coombs, industry founder and founder of Petra Financial Advisors... Aaron Coates, partner, CIO, CCO, Compass Wealth Advisors... etc. |
Financial Advisor
March 2008
David J. Drucker |
Blueprint For Success Nowadays, an energetic financial planner can get up and running in three to five years. The industry has simply built a body of knowledge around starting an independent advisory firm and, independent planners have disseminated that knowledge freely. |
Financial Planning
March 1, 2011
Stephanie Bogan |
Growth: Realizing Your Potential To build your advisory practice into what you dream it will be, you need to see it clearly and then think like a businessperson, streamline operations and market yourself. |
The Motley Fool
November 27, 2006
Dan Caplinger |
Financial Planning Ethics With the increasing complexity of the financial world, it's increasingly important to find professionals you can trust. By choosing a financial planner who is governed by strict ethical principles and guidelines, you can feel more confident that you will get the advice and assistance you deserve. |
Investment Advisor
May 2007
Bob Clark |
We Win, Sort Of How the FPA can make the most out of its upset victory over the SEC. |
Investment Advisor
August 2006
James J. Green |
IA Leaders: Back in the Saddle As her NAPFA chairmanship concludes, Peggy Cabaniss moves to her next challenge. Here is an interview on how she got started in the business, on what she provides to clients and the future of the industry. |
Financial Planning
October 1, 2010
Katherine Reynolds Lewis |
Study Harder New Dodd-Frank legislation kick-started two major initiatives that could transform the way financial advice is regulated and for the first time subject financial planning to explicit regulatory oversight. |
Registered Rep.
March 9, 2007
Christina Mucciolo |
What's In a Name? If You Are a Fiduciary, a Lot. But Are CFP Certificants Fiduciaries? Financial planners who hold the Certified Financial Planning designation have been tussling with the CFP Board, which controls the CFP designation, over the designation's ethical standards. |
Registered Rep.
February 1, 2003
Will Leitch |
The Acrimony Over Acronyms Faced with a full hand of acronyms to describe their various certifications and designations, brokers are showing them off, confusing clients. For this reason, the notion of a universal designation -- akin to the CPA in the accounting profession -- is gaining momentum. |
Financial Advisor
November 2005
Tracey Longo |
The Embattled Broker Exemption Rule While advisors talk a good game about their desire to see consumers protected by meaningful regulation, the Financial Planning Association remains the sole litigant in its lawsuit against the Securities and Exchange Commission's so-called Merrill rule. |
Financial Advisor
February 2006
Tracey Longo |
NAPFA: Holier Than Thou The chairwoman of the the small and once-feisty organization for fee-only financial advisors seeks balance between the group's rabble-rousing roots and concern for members. |
Investment Advisor
June 2008
Robert F. Keane |
FPA Focuses on Future Building relationships, exploring possibilities, and establishing a standard of care for financial professionals are items on the FPA's agenda for this year. |
