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There is an alternative planning opportunity for clients who are intrigued by the benefit of tax-free growth of a Roth conversion, but who ultimately reject the strategy because of the income tax liability triggered on the full IRA balance at...
In a media conference call Tuesday morning, NASAA President Denise Voigt Crawford outlined the biggest investor protection issues in Wall Street reform legislation supported by NASAA. Investor protection is one of the issues legislators plan to...
After months and months of public debate and back-room deal-making, a final outcome on fiduciary duty—the biggest issue for financial advisors, stockbrokers and wealth managers in the Wall Street reform bill—may be decided Wednesday...
After weeks of speculation, on May 20 the U.S. Senate finally approved some far-reaching new financial rules aimed at preventing the risky behavior and regulatory failures which brought the economy to the brink of collapse two years ago. It will...
“We are really the only major relevant firm that actually went into the 2008 and 2009 abyss and came out the same firm,” Mulholland told Registered Rep., in an exclusive interview at his office in Weehawken, N.J. “We went in as...
If you worked as a financial advisor last year, you are well aware that securities industry compensation was one of the many victims of the financial collapse. But new data from David Belkin, senior economist at the nonpartisan New York City...
You’ve heard it before, ad nauseum. The way to boost revenues is by forming a team. Client needs and the demands of the market are too complex to be served adequately by a lone cowboy or even a loosely associated group of colleagues. “...
LPL to go public. As one advisor puts it, “[The private equity firms] didn’t invest in LPL to hang out. It was a business decision and they’re ready to monetize their investment.” The PE firms’ 2005 investment valued...
Social media is much like the Internet was 15 years ago. With so many potential prospects online, and the profiles of these users overflowing with information, it's an opportunity for financial advisors.
