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Financial Planning
June 1, 2011
Donna Mitchell |
A Bigger Stick The CFP Board of Standards says part of its mission is to serve the public by upholding high standards of conduct. But some planners are questioning the group's motives after it recently gained access to many Americans' private financial information.   |
Investment Advisor
July 2008 |
Changes Robert "Bob" Reynolds... Charles "Ed" Haldeman... Diahann Lassus... George Curtis... Scott Friestad... Ken Ziesenheim... Ronald Fiske... Dan Moisand... V. Raymond Ferrara... James Knaus... Yvonne Dean... Michael Ross... Joe Terranova... Chey Payne... John Sawyer... |
Financial Planning
June 1, 2010 |
On The Job Allianz Life Insurance names Wayne Hechanova director of distribution marketing... Bank of New York Mellon names Jan Sherburne senior vice president and general counsel... The CFP Board of Standards appoints Mark Kordes chair of the CFP Board Council on Education... etc. |
Investment Advisor
June 2008
Melanie Waddell |
On a Mission A conversation with Kevin Keller, in which he promises that his second year as the CFP Board CEO will be even more fruitful than his first. |
Investment Advisor
May 2009 |
Changes People: Derek Bruton named national sales manager for LPL Financial Independent Advisor Services while still retaining his position as CEO for the LPL Financial affiliated broker/dealers... Walter Donovan as CIO and head of Putnam's equity, fixed-income, and global allocation operations... more... |
Financial Advisor
September 2005
Bruce W. Fraser |
How To Survive The SEC Assault Advisors cite a new, more demanding compliance environment. Despite the extra financial and time burden, many advisors feel much better about their businesses, having gone through the compliance process. |
Investment Advisor
July 2008
Bob Clark |
With Friends Like These... What's the CFP Board really up to, and will their decisions benefit financial planners? |
Financial Advisor
November 2010
David Lawrence |
Back In The Fold? Will the new regulations force independents to return to broker-dealers? |
Registered Rep.
January 12, 2011
Jerry Gleeson |
CFP Board Sees More Planners in Bankruptcy Of all the categories of conduct that will land a certified financial planner before the CFP Board of Standards' Disciplinary and Ethics Commission, bankruptcy currently ranks number one. |
Financial Advisor
November 2012
Karen DeMasters |
CFP Board May Increase CE Requirements CFP licensees would have to obtain 10 additional hours of continuing education every two years, according to proposals being considered by the CFP Board of Standards. |
Financial Planning
January 1, 2011
Donna Mitchell |
Spreading the News After being educated about the requirements for a CFP and the approach these planners take in offering financial advice, consumers say they are more likely to seek out a CFP for help with managing their money. |
Investment Advisor
December 2006
Kara Stapleton |
Briefs The Financial Planning Association endorsed a proposed rule... The CFP Board voted to approve changes to its governance policy... |
Financial Planning
March 1, 2005
Jennifer A. Liptow |
On the Job Mark Davis has joined the Washington staff of the Financial Planning Association... John Hancock Life Insurance in Boston has appointed William J. Cuff... New York Life Insurance has appointed Janett C. Greenberg... etc. |
Financial Planning
November 1, 2011
Miriam Rozen |
Surviving Sanctions Financial planners often make the mistake of focusing exclusively on marketing and execution of clients' plans, but overlook their own industry's self-regulatory requirements. |
Registered Rep.
June 16, 2011
Jerry Gleeson |
CFP: Financial Plans' Peace of Mind Loosens Purse Strings, Too Financial plans are considered a wise investment for households, but can they save the national economy? |
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. |
Investment Advisor
June 2008 |
About Those Resignations An interview with the CEO of the CFP Board's Disciplinary and Ethics Commission, about the recent resignation of the Board's certificant members. |
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 2008 |
Frontline News News of interest to the financial community: CFP Board's New Conduct Standards... SEC Examining More RIAs... Advisors Await Word On New Privacy Regulations... First Western Buys Fourth RIA Firm, Doubles Size...etc. |
Financial Advisor
August 2008 |
Letters to the Editor CFP Board Ethics Procedures... Nick Murray at his best... Financial advisory industry shrinking... |
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. |
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 Planning
October 1, 2008
Bob Veres |
Checks and Balances Conflict between the Certified Financial Planner board and the Disciplinary and Ethics Commission. |
Investment Advisor
July 1, 2011
John Sullivan |
Catching up with... Bob Reynolds In June 2008, Bob Reynolds, the former Fidelity Investments vice chairman and COO, joined Putnam Investments. His impact was nearly immediate. |
Financial Advisor
July 2006 |
Frontline News FPA Members Support Fiduciary Standards... NAPFA Honors Bradley For Exemption Stance... Focused On The Top, Focus Grows Again... Planners Stay Happy Despite Earnings Decline... etc. |
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
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. |
Financial Advisor
March 2005 |
Frontline News AICPA Joins FPA In Opposing Exemption For Brokers... Heads Roll At CFP Board As Up To 25% Of Staff Gets Axed... American Express Spinning Off Advisors Unit... Board Of Standards Disciplines 23... etc. |
Investment Advisor
March 2009
Kara P. Stapleton |
Group Think News about the FPA, American College, CFP Board, and IMCA. |
Investment Advisor
November 2006
Kara Stapleton |
Group Think The Financial Planning Association announced the winners of its first-ever Heart of Financial Planning Distinguished Service Awards, recognizing those who engage in exceptional work and contribute to the financial planning community or to the public. |
Financial Advisor
September 2009 |
Frontline News News for the financial services industry: Regulations, Fiduciaries And Other Things... Breakaway Broker Trend Slowing?... Barney Frank Won't Push SRO For Advisors... CFP Board's Proposed New Education Standard... M&A Activity Down, But Not Out... more... |
Investment Advisor
August 2008
Thomas D. Giachetti |
The Three Troubling Themes How to combat compliance misunderstanding and misdirection. |
Investment Advisor
February 2008
Angela Herbers |
Barring the Door How to stop training your (future) competition. |
Investment Advisor
July 2007
James J. Green |
CFP Board Adds Fiduciary Requirement The Board of the Certified Financial Planner Board of Standards adopted a revised version of its code of ethics, adding new language that requires all 54,000 CFPs to "at all times place the interest of the client ahead of his or her own." |
Financial Planning
September 1, 2008
Bob Veres |
Power Plays The recent Financial Planners Association luncheon allowed attendees to voice their concerns to a panel that included newly installed CFP Board CEO Kevin Keller. |
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. |
Investment Advisor
October 2007
Melanie Waddell |
Making Compliance Headway Four years after the passage of the SEC's "compliance program rule," advisors are still grappling with exactly what their annual review process should entail. |
Financial Advisor
March 2005
Tracey Longo |
The Watchdog Inside Your Firm The SEC is making your chief compliance officer a whistleblower. Advisors' success with regulators in 2005 will depend largely on whether they trip themselves up or are able to create a business model that is better aligned with their clients. |
Financial Advisor
November 2007
Tracey Longo |
More Friendly Skies Former United Pilot Robert Thomas has expanded his advisory practice from airline employees to ExxonMobil credit union members. |
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 Planning
May 1, 2012
Fernandez et al. |
Hot Topics Advisors use more variable annuities... Many investors, especially younger earners, neglect retirement accounts... CFP Board changes bankruptcy, disciplinary procedures... |
Financial Planning
July 1, 2005
Jennifer A. Liptow |
On The Job New York Life Insurance Co. has promoted Scott L. Berlin to... James Bowman has been elected senior vice president and appointed head of the new Life Division of... Federated Investors in Pittsburgh has appointed Curtis R. Gross director of ... etc. |
Financial Planning
October 1, 2006
Elizabeth O'Brien |
The Fiduciary Fracas Debate and controversy over the elusive standard could be just what the industry needs. |
Financial Advisor
March 2008
Joel Bruckenstein |
Kicking It Up A Notch Tech upgrades at some of the larger independent broker-dealers. |
Financial Planning
November 1, 2006
Daniel B. Moisand |
Keep Standards High Financial planning is surprisingly under-regulated. The rules that do exist apply primarily to subset disciplines. As a result, all planners are regulated but no one really regulates planning. |
Investment Advisor
February 1, 2011
Bob Clark |
An Old Dog Learns Some New Tricks Or a funny thing happened on the way to The Dodd-Frank Wall Street Reform Act. |
Investment Advisor
January 2007
Melanie Waddell |
Getting Compliance Help Now If you're one of those financial advisory firms that's still dithering on the sidelines hoping that your compliance program is up to snuff, it's time to get serious. A good place to turn for help is the Regulatory Compliance Association's new CCO University. |
Registered Rep.
April 5, 2012
Jerry Gleeson |
CFP Board to Make Planner Bankruptcies Public Bankruptcy among holders of the Certified Financial Planner designation has been rising at a startling rate in the past four years. |
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? |
Registered Rep.
May 3, 2011
Diana Britton |
Rising from the Ashes: Putnam Makes Comeback With Advisors Since 2008, Putnam's assets have grown from $39.8 billion to $69 billion as of the end of March. |
