Blogs

Sep 17, 2014

Hybrid RIA Lures Away $220M Advisor Duo From RBC

Washington Wealth Management lured away a $220 million team from RBC Wealth Management on Wednesday. The duo will affiliate with the San Diego-based hyrbid RIA as a stand-alone practice based in Salt Lake City, Utah....More
Jun 04, 2014

How Can I Build a Community With My Clients?

By creating a tigh knit community of your clients and your centers of influence, you have the ability to retain assets, increase referrals and generate new business. Find out how!....More
Jul 30, 2013

ERISA 2013 Trends - Increased Enforcement, Confusion, Fear, Backlash

As we move into the second half of 2013, let’s take a look at some of the meaningful trends as the new ERISA regulatory requirements take hold. •June 2011: Towers Watson study revealed the following top three items on plan sponsors’ minds for the next two years: 1.Regulatory compliance; 2.Investment volatility; and 3.Vendor service....More
Jun 11, 2012

Career Risk

It's smart to know your limits. Sometimes "No" is the best answer....More
Sep 09, 2014

Why the Existing Fiduciary Rule Won’t Work for Brokerages

As part of Fiduciary September festivities, RBC Wealth Management’s John Taft challenged fiduciary standard advocates, and explained why the current standard won’t fly in the brokerage world....More
Apr 28, 2014

FINRA Hits The Rep While He is Down

FINRA, by its new rule, is again hurting the broker....More
Jan 18, 2014

Top Insider Trades 1/17/14: MVC, SYRG, RHP, ACSF

Which stocks are getting attention from insiders?....More
Aug 25, 2014

Beauty Pageant: Exemption Revoked and Scholarships Taxable

While beauty may be in the eye of the judges, a beauty pageant’s qualification as an Internal Revenue Code Section 501(c)(3) charity is in the eye of the Internal Revenue Service....More
Sep 04, 2014

The SEC Needs to Fix the Problem It Created

Investors are being deceived about the nature of the advice they're getting, and it's a problem the SEC has created, says investor advocate Barbara Roper....More
Jan 21, 2014

Rating Breakdown: Best & Worst ETFs & Mutual Funds by Sector

This report focuses on my top picks and pans for all sector funds. I will follow this summary with a detailed report on each sector....More
Investment Category Sponsor Links

 

Careers Category Sponsor Links

Sponsored Introduction Continue on to (or wait seconds) ×