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Investment Advisor
June 2009 |
Group Think Industry association news: Call for legislation to oversee the financial planning profession... New member programs from NAIBD... NAVA has hired Chris Paulitz as Vice President of Communications and Public Affairs...   |
Investment Advisor
July 2009 |
Changes Personnel moves and appointments: George Canellos as regional director of the SEC's New York regional office... ING Investment Management, Americas, has hired Jonathan Golub... more... |
Registered Rep.
September 30, 2003
Will Leitch |
Lobbying for Independents The Financial Planning Association has lamented, along with many of its members, the absence of a specific lobbying organization for independent broker/dealers. The FPA is now trying to do something about it. |
Investment Advisor
October 2008
Marlene Y. Satter |
Changing of the Guard Catherine Weatherford, long-time executive vice president and CEO, will be leaving her post after the 2008 Fall National meeting. |
Investment Advisor
October 2007
James J. Green |
A Robust FPA Celebrates Fresh from Senate testimony, FPA President Nicholas Nicolette stresses fiduciary duty, and the vigor of the Financial Planning Association. |
Investment Advisor
June 2008
Kara P. Stapleton |
Power of the Platform LPL will build a custodial offering for its own -- and outside -- RIAs. |
Investment Advisor
April 2009 |
Group Think News from FINRA, IAA, NAVA, NAPFA, and NAIFA |
Investment Advisor
September 2009
James J. Green |
How the Representatives Voted The year 2009 marked the 19th time that Investment Advisor asked its readers who are representatives of independent broker/dealers to rank their own B/Ds on 14 discrete categories, along with an overall rating. |
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. |
Investment Advisor
November 2009
James J. Green |
FPA's Barry Is Optimistic The fiduciary issue remains central to the Financial Planning Association's lobbying efforts, and it has publicly voiced support for extending the fiduciary standard to the broker community. |
Investment Advisor
March 2008
James J. Green |
Coming Out Party Only fours years after its inception, the Financial Services Institute has achieved a high level of success as the primary advocacy group for independent broker/dealers. The recent FSI gathering was the broker/dealer group's biggest ever. |
Investment Advisor
June 2008
McBride & Roberts |
The Presidents Speak Recruiting and building margins are top challenges for independent broker/dealers today. |
Investment Advisor
March 2008 |
Changes People: Jeff Montgomery, CEO of National Financial Partners Securities, is resigning... Timothy Armour, managing director, is retiring from Morningstar... Mark Mackey has resigned as CEO of NAVA... etc. |
Investment Advisor
March 2009
James J. Green |
Editor's Note: For Your Consideration RIAs and broker/dealers are more alike than they are different, and it's always better to merge from strength than weakness. |
Investment Advisor
September 2009
James J. Green |
Where Representatives Would Go This year, more than many others, many representatives of broker/dealers are reassessing their options when it comes to with whom, and how, they will affiliate. |
Investment Advisor
June 2009
James J. Green |
Best of Times, Worst of Times Securities America and Capital Analysts have responded to the financial crisis in quite different ways. But they're also quite similar in how they're proactively changing their business models to help reps and the home office thrive |
Investment Advisor
June 2009
James J. Green |
Leadership In volatile times, communication and culture are broker/dealer leaders' touchstones. |
Investment Advisor
October 2008
James J. Green |
Is Consolidation Finally Here? Several recent deals for mid-sized independent broker/dealers raises the question. |
Registered Rep.
March 27, 2006
Kristen French |
SEC Targets Investment Traps Set For Seniors The move against the "free lunch," as they are generally called, is part of a larger initiative launched to protect senior citizens from investment scams and unsuitable recommendations. |
Registered Rep.
October 28, 2009
Christina Mucciolo |
NAIBD Works To Prevent Audit Cost Hikes For IBDs The National Association of Independent Broker/Dealers is working to prevent proposed legislation in Congress from increasing the auditing costs of small independent broker/dealers. |
Investment Advisor
April 2008 |
Group Think The American College selected Carroll Walker as this year's recipient of the Samuel H. Weese Award... The Financial Planning Association is currently accepting nominations for its 2009 Board of Directors... |
Investment Advisor
July 2009
Jonathan Henschen |
Broker/Dealer Briefing: Which B/D Model Works Best? Advisors typically don't have a clue as to what the profit centers are at broker/dealers and, frankly, the broker/dealers would like to keep it that way. |
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. |
Registered Rep.
November 16, 2007 |
FPA Elects New President The Financial Planning Association also six new members to its Board of Directors. |
Investment Advisor
June 2007
Kathleen M. McBride |
Interesting Times Independent broker/dealers find opportunity in the face of changing winds. |
Investment Advisor
June 2010
Marlene Y. Satter |
Tenacity The financial crisis gave independent B/Ds a drubbing from which they've yet to fully recover, according to the IA 2010 broker/dealer survey. |
Investment Advisor
September 2007
James J. Green |
Leading the Way The leaders of the 2007 Broker/Dealers of the Year reflect their reps: optimistic, opinionated professionals whose business savvy is growing in a challenging environment |
Investment Advisor
August 2008
Kara P. Stapleton |
Like Elder, Like Adult Child Baby boomers are failing to follow the tried-and-true retirement planning disciplines that enabled their parents to achieve a satisfying retirement. |
Registered Rep.
March 30, 2007
John Churchill |
Surprise! FPA Wins Lawsuit Against SEC and the Broker-Dealer Exemption Three years after suing the SEC over the controversial "Broker Dealer Exemption" rule, a federal court has ruled that the SEC exceeded its authority in adopting the rule. |
Investment Advisor
May 2007
Kara P. Stapleton |
News & Products NAVA, the Association for Insured Retirement Solutions, announced that total VA sales for 2006 were $157.3 billion... The American Council of Life Insurers announced its support for a bill that would provide special tax treatment... etc. |
Financial Advisor
June 2012 |
FPA Chief Marvin Tuttle To Step Down In 2014 Tuttle, 57, announced his retirement in May at the 2012 FPA Retreat in Scottsdale, Ariz. |
Investment Advisor
May 2006
Murphy & Green |
Breaking Away As the number of breakaway brokers continues to rise, broker/dealers and custodians have implemented programs designed to make the broker's transition to independence as seamless as possible. |
