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Financial Advisor
November 2003
David J. Drucker |
Ethics And The Elderly Serving the elderly puts in play a host of ethical dilemmas for financial planners.   |
Financial Advisor
March 2012
Barbara Potter |
Second Chances Sometimes, a corporate trustee is the best choice to manage a trust left to a second spouse, and that eventually benefits children of the first marriage. |
Financial Advisor
August 2010
Lori K. Murphy |
Easing The Stress Here's how financial advisors and estate planners can work together to help those with mentally impaired family members. |
Financial Advisor
May 2012
Eric Rasmussen |
The Horror Whether it's sibling rivalries, poorly thought out trusts or simply greed, the estate planning world offers an abundance of horror stories. |
Financial Planning
November 1, 2007
Martin M. Shenkman |
High Net Worth: Estate Planning: Be a Trust Team Player Advising your clients to enter into trusts doesn't have to mean the end of your investment management services. Here's what you should know. |
Financial Advisor
October 2005
Charles Avalli |
What To Do When A Will Contest Is Brewing Advisors can be caught in the middle when family disputes erupt. Here's how to handle contested wills. |
Investment Advisor
November 2006
Thomas D. Giachetti |
Defining Fiduciary What is a financial advisor's true fiduciary duty? |
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. |
Investment Advisor
March 2006
Melanie Waddell |
Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away. |
Investment Advisor
October 2010
Melanie Waddell |
Dissecting the FSI's Position on Fiduciary As a new study finds investors still confused, Financial Services Institute president Dale Brown presents the independent broker/dealer perspective. |
Investment Advisor
October 2010
Thomas D. Giachetti |
Custody: Why You May Actually Have It Advisors responsibilities have changed under the SEC's new custody rule. |
Financial Planning
November 1, 2012
Martin Shenkman |
Preventing Client Abuse: Financial Advisors Are Vulnerable As the case against Brooke Astor's son illustrated, even clients with reputable advisors can be vulnerable to predators who often target the elderly and those in declining health. |
Investment Advisor
March 2008
Melanie Waddell |
Figuring Out Fiduciary What, exactly, does fiduciary advisor mean? How can an advisor know for sure if he's fulfilling his fiduciary obligations? Are there any real guidelines? |
Financial Advisor
January 2004
William S. Villafranco |
Whom Do You Trust? What factors should you consider when choosing a trustee? Using co-trustees, where one is a professional trustee and the other is a family member or close friend, may be the most effective choice. |
Financial Planning
January 1, 2009
Donald Jay Korn |
Trust Worthy Some good news that planners can tell their clients: The federal estate-tax exemption has just jumped from $2 million to $3.5 million, so this is an excellent time to review estate plans. |
On Wall Street
July 1, 2009
Helen Kearney |
The 'F' Word Stirs Up Controversy Advisors who fall under the new fiduciary standard, namely investment advisors who run a fee-based business, must always put clients' interests before of their own. |
Financial Advisor
August 2007
Bruce W. Fraser |
Drifting Away What do you do when clients show signs of incipient Alzheimer's disease or dementia? As a financial advisor, you're responsible for their assets. |
Financial Advisor
November 2008
James Sprout |
Following The Vision Without argument, one of the more difficult struggles a family can face is choosing who will provide long-term management of the family assets, especially if a great deal of wealth is at stake. |
Investment Advisor
August 2008
Lewis Schiff |
A Prospect With a Plan A prospect with an existing plan often presents opportunities. |
Financial Advisor
March 2006
Charles Avalli |
Challenging A Trustee Who is responsible when a trust shows poor performance? Good financial advisors need to help their clients find their way through a trust dispute. |
The Motley Fool
December 21, 2006
Dan Caplinger |
How to Contest a Will Although will contests are sometimes necessary to correct injustices, they are rarely successful and always demand a great deal of personal and legal effort. |
Registered Rep.
April 1, 2005
Thrupthi Reddy |
How Not to Get Sued If you're a fiduciary and don't want to get sued --- and fined --- pay close attention to this litigation expert. |
Financial Planning
February 1, 2012
Martin Shenkman |
Trust, But Verify The estate planning answer for a lot of parents is to leave inheritances in trust for the benefit of their child. But trusts vary widely, and because this is a message many clients miss, planners must reinforce the idea. |
The Motley Fool
November 16, 2006
Dan Caplinger |
Second Marriages With Kids: Part 2 Second marriages, and the possible resulting family structure -- with stepchildren potentially on both sides of the family with half-siblings in the middle -- can wreak havoc on conventional financial and estate planning. |
Financial Advisor
June 2004
Jeff Schlegel |
Special Needs Planning Requires Pioneering Spirit There isn't a lot of information out there to help financial professionals deal with the special needs of clients with disabled family members. |
On Wall Street
November 1, 2011
Frances A. McMorris |
Comforting A Client Through Loss And Grief With an increasingly elderly population, dealing with death and the finances of survivors promises to become a major portion of an advisor's practice. |
Financial Advisor
October 2004
Chaplin & Giachetti |
Contingency Planning And Rule 206(4)-7 What must a financial advisor do to comply? |
Registered Rep.
May 1, 2004
Anne Field |
Role Reversal What happens when adult children take over part or all of their parents' finances - at the request of Mom or Dad? How should an advisor approach such situations? |
Investment Advisor
February 2007
Thomas D. Giachetti |
When Should You Register? Should an investment advisor with $30 million of "assets under management" register with the SEC? It depends on whether the advisor has "qualifying" assets under management. |
Investment Advisor
January 2007
Bob Clark |
The Trust Threat Financial advisors need to rethink adding trust services to their offerings. |
Registered Rep.
February 1, 2005
Daniels, Leibell & Prince |
An RLT Primer Estate planners are finding the revocable living trust (RLT) to be an increasingly popular and useful tool. Some, however, are guilty of overstating the benefits of the RLT, and this can confuse clients and lead to some embracing RLTs for the wrong reasons. |
Investment Advisor
October 2006
Chris Blunt |
Advancing the Conversation Advisors' role in helping clients and heirs address end-of-life issues -- Behind the Numbers: 72% of parents said they would encourage their own financial advisor to discuss... etc. |
Investment Advisor
September 2010
Bob Clark |
Clark at Large: Time to Represent, Advisor Leaders! Advisors can play a powerful role in the SEC's fiduciary deliberations, if they can get their leaders to lead. |
Financial Advisor
December 2010
Caren Chesler |
Getting Through The Fog Advisors have to make tough but quick decisions when their clients show signs of dementia. |
On Wall Street
January 1, 2011
Matthew J. Lynch |
Team With Rivals To Better Serve Trust Clients As the financial services industry continues to grow more complex with increasing numbers of new business models, a surprising new niche has opened, allowing traditional rivals-financial advisors and trust companies-to work together. |
Financial Planning
May 1, 2011
Martin Shenkman |
Caring for Your Client When clients are elderly or chronically ill, including a care manager on the team can provide considerable expertise and benefit both a client and the family. |
Financial Planning
June 1, 2012
Donald Jay Korn |
Busting Trusts When assets for spouses are left in trusts, restrictions often apply, chafing the living spouse. |
Registered Rep.
July 15, 2011
Kristen French |
SIFMA Wants Fiduciary Standard Governed By Client Contracts Broker/dealer trade group SIFMA fired off the latest round in the ongoing tangle over the fiduciary standard Thursday. The group sent a letter to the SEC that recommends creating for broker/dealers a modified version of the fiduciary standard that currently governs investment advisers. |
Investment Advisor
February 1, 2011
Melanie Waddell |
2011: The Year the Advisors' Playing Field Fundamentally Changes All eyes this year will be focused on the exchanges that will ensue between lawmakers and the Securities and Exchange Commission regarding putting brokers under a fiduciary mandate and appointing a self-regulatory organization. |
Investment Advisor
August 2005
Thomas D. Giachetti |
Come Right In Here are some issues pertaining to an advisor's compliance-readiness, including a list of some of the more substantive issues that are currently the focus of SEC examiners. |
Financial Planning
December 1, 2007
Barbara H. Cane |
Heirs With Special Needs Here's how you can help your financial advisory clients prepare for the future of disabled loved ones. |
Financial Planning
May 1, 2008
Martin M Shenkman |
Another Door Closes The Supreme Court recently reached a decision that ends the ability of most trusts and estates to deduct investment management fees. It is vital to understand the rules so you can help clients maximize the deductions they might qualify for. |
Financial Planning
June 1, 2010
Brian Hamburger |
Going for Custody As of March 12, new rules for RIAs require special (and expensive) reports and audits for custodial accounts. Are you ready? |
Registered Rep.
March 1, 2008
John Churchill |
Fix Advisor Laws! Laws should reflect the fact that the differences between registered reps and registered investment advisors have largely evaporated. |
Investment Advisor
October 2007
Kara P. Stapleton |
The Kids Stay in the Picture Think of your financial advisory clients' children now, and they're likely to think of you later. |
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 Planning
July 1, 2013
Martha White |
Special Needs Clients: 'Retirement for 3' For families with a special-needs child, advisors must employ a variety of tactics. |
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. |
Financial Advisor
September 2012
Jeff Schlegel |
Not Making The Grade Financial advisors aren't as fiduciary as they should be, a new survey finds. |
Investment Advisor
November 17, 2010
Thomas D. Giachetti |
Will You Stay SEC Registered in 2011? Regulatory changes could cause confusion for advisors |
