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  • Jun. 11, 2013
    blog

    Bred To Seek Advice

    Contrary to popular opinion, GenY and millennials are good potential clients for financial adivsors, as these investors have actually been bred to want advice....More
  • Jun. 11, 2013
    Commentary

    Liquidation Watch: Niche ETNs Can Come Back to Bite

    Calling a niche correctly can bring great reward, but it comes with commensurate risk. When investing in ETNs based on niche indicies, tread lightly....More
  • Jun. 11, 2013
    blog

    How To Avoid the Worst Sector Mutual Funds  

    Picking from the multitude of sector mutual funds is a daunting task. In any given sector there may be as many as 229 different mutual funds, and there are at least 631 mutual funds across all sectors....More
  • Jun. 10, 2013
    Commentary
    REP.

    Five Ways to Immerse Yourself in the LinkedIn Culture

    In the spirit of our LinkedIn real-world parallel, the following are five tips on appropriate LinkedIn (and business networking event) behavior....More
  • Jun. 7, 2013
    blog

    Advisors on the Move: Wirehouses Bolster the Ranks

    UBS Wealth Management, Wells Fargo Advisors, Raymond James and Morgan Stanely recently picked up advisors, while Hightower Network snagged its first advisor team....More
  • Jun. 6, 2013
    blog

    Female Advisors Better Prepared For Diverse Investors

    Affluent investors are changing—the amount of wealth controlled by younger advisors, ethnic minorities and women is growing. And women may have the best advisory styles to capture these new affluent investors....More
  • Jun. 6, 2013
    blog

    How To Find the Best Sector Mutual funds  

    Finding the best mutual funds is an increasingly difficult task in a world with so many to choose from....More
  • Jun. 5, 2013
    blog

    DOL to Stare Down Industry on Fiduciary

    Despite the delay, firms ignore the DOL's proposed rule to redefine the fiduciary definition under ERISA at their own peril, especially as it now looks like the agency will deliver a full-strength dose of trouble come September....More
  • Jun. 5, 2013
    blog

    Orgs to SEC: Don’t Water Down the Fiduciary Standard

    A coalition of nine organizations—from consumer advocates to investment advisor representatives—write a letter to SEC Chair Mary Jo White with a clear message: ‘Don’t water down the fiduciary standard.’...More
  • Jun. 5, 2013
    blog

    Borrowing Can Double the Costs of College

    The average cost of borrowing for college could be twice as much as putting money away in a 529 plan, according to a new T. Rowe Price report....More
  • Jun. 5, 2013
    blog

    The Blotter Report: Like Taking Candy From a Baby

    Who pushes their 91-year-old, dementia-impaired grandmother to invest in a Cozumel condo project? Check out this wild broker and others in this week's report....More
  • May 31, 2013
    Commentary
    REP.

    I Am My Own Contrarian Indicator

    Nothing is certain, and lessons in humility await us all. Working for a financial publication, friends and acquaintances have occasion to ask me for stock tips....More
  • May 31, 2013
    blog

    Rising Rates Could Blow Up Boomers' Retirement

    Older investors with assets in defined contribution plans like 401(k)s and IRAs are in trouble. As interest rates rise, a new study by Casey Quirk predicts these plans will lose up to $180 billion....More
  • May 30, 2013
    blog

    Three Shades of HighTower

    With its two new models, HighTower Advisors—the raider of the wirehouse ark—is now branching out to attract advisors who have already gone independent but find it’s not what it’s cracked up to be....More
  • May 30, 2013
    blog

    The Blotter Report: Some Strong Responses

    Morgan Stanley aggressively pursues a trio of advisors who jumped to Stifel, while FINRA banned two former advisors for their thieving tendencies....More
  • May 30, 2013
    Infographic

    Regrets Haunt Global Millionaires

    Just like the 99%, global millionaires regret not having reviewable financial plans sooner, according to a new survey by independent financial advisory firm deVere Group...More
  • May 30, 2013
    blog

    Low-Cost Funds Dupe Investors – 2Q13

    Fund holdings affect fund performance more than fees or past performance. A cheap fund is not necessarily a good fund. A fund that has done well in the past is not likely to do well in the future (e.g. 5-star kiss of death and active management has long history of underperformance). Yet, traditional fund research focuses only on low fees and past performance....More
  • May 29, 2013
    Commentary
    REP.

    Technical Corner: May 2013  

    There’s been a tectonic shift in investor mentality over the past year. Stocks are in; gold is out. But what about gold stocks? They are, after all, stocks. So, have they been swept up in the recent equity buying spree?...More
  • May 28, 2013
    Commentary

    Appraisal “Attachment” Requirement Not Met

    Conrad Teitell discusses the Internal Revenue Service's recent denial of a charitable deduction because the donor failed to comply with the appraisal requirements....More
  • May 24, 2013
    blog

    Advisors on the Move

    Wunderlich Securities, Janney Montgomery Scott, Rothschild and Schechter Wealth Management boosted their ranks recently with fresh recruits, while others like Chase and NFP promoted executives from within to take on new responsibilities....More
  • May 23, 2013
    blog

    The Blotter Report: Legal Legwork Pays Off

    Federal and state prosecutors, as well as several New York law firms, have put the screws to advisors this week. Back in the U.S., a former stockbroker who fled prosecution for a pump-and-dump scheme was hit with a 7-year jail sentence this week, while FINRA and Massachusetts levied multi-million fines against some of the biggest independent broker-dealers....More
  • May 23, 2013
    blog

    Why I’m Bullish And We Are Not In a Bubble

    Perma bears are not seeing the big picture. Now is not the time to predict the economic apocalypse or “aftershocks," according to New Constructs' founder David Trainer. Investors need to beware of those selling doom and gloom....More
  • May 22, 2013
    blog

    Outgrowing Wall Street?

    Are advisors outgrowing Wall Street? A new Cerulli report on the rise of the “boutique” seems to suggest that many are....More
  • May 21, 2013
    Commentary
    REP.

    Advisors Get Ready to Ride the Social Sharing Wave

    Moore’s Law is a mathematical principle devised in the 1960s that states the number of transistors on integrated circuit boards doubles every 18 months—meaning the processing power grows exponentially. This simple principle has held true for the computer hardware industry over the past fifty years!...More
  • May 21, 2013
    blog

    FINRA Won't Drop BrokerCheck Link Rule

    Advisors who hate the idea of linking to BrokerCheck on their websites are not out of the woods. Despite pulling its proposal last month, FINRA staff say the proposal is not dead....More
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Ed Jones to Wells Bank Channel (WBS)

I'm at EJ now in my 3rd year.  I'm in a difficult market for EJ and I'm a true scratch starter.  I'm above expectations, but getting tired of hunting money.  I'm considering going to work at Wells Fargo, who has a huge presence in my town.  The postion would be a bank advisor (WBS) and to me this sounds like a "piece of cake" after being at EJ.  Am I clueless or is the grass really greener?  If you're at WF or at another bank, please give me your thoughts. ...More

New Company set up

Hello, I am currently in the process of setting up my own FA firm. Actually it is a financial service firm including bookkeeping and budgeting services with financial planning as well. My business model is to be a flat fee to review portfolios, make suggestions & assist client with paperwork etc . I do not want to actually manage the investments which I feel allows me to recommend low expense products such as index funds etc.. My clientele will be the small accounts that every other FA would not want....More
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Most Recent Blogs & Columns
Jun. 18, 2013
blog

Not So Fast: Congressional Letter Could Put a Kink in DOL’s Proposal

Thirty-two members of Congress from minority caucuses have sent a letter to the Department of Labor, arguing that the agency's fiduciary proposal could disadvantage their constituents and limit minority access to financial advisors....More
Jun. 18, 2013
Commentary

Death of the Small Broker-Dealer   3

Over the past decade, a tremendous amount of pressure has been laid on the shoulders of the small broker-dealers of the securities industry. Like the iconic Willy Loman in Arthur Miller’s Death of a Salesman, these small and/or independent brokerages are allotted a significantly shorter leash than they have been in years past......More

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