Beyond Referrals: New Ideas for Growth
- Don't Tweet This: Why You May Not Need to Be on Social Media. Barack, Lauren // Registered Rep;Apr2011, Vol. 35 Issue 4, p52
The article focuses on the disadvantages on the use of social media in the financial advisory industry in the U.S. It mentions that the complexity of the regulations enforced by the Securities and Exchange Commission (SEC) has discouraged financial firms to use such social media. It also notes...
- Fee Transparency Aiding Credibility. // American Banker;2/28/2011, Vol. 176 Issue 31, p8
The article reports that financial advisers' credibility among U.S. consumers improves if advisers or investment and financial management firms disclose information about fees and how they are paid.
- The business of financial advice and investing. // Citizen Airman: The Official Magazine of the Air National Guard ;Aug2010, Vol. 62 Issue 4, p15
The article focuses on the author's advice on investments in the U.S. He mentions that investing on one's own and pay for some financial advisers are fine. He recommends discount brokerage for people who want to pick their own investments and financial advisers for those who want some help. He...
- Competitive Bond Offerings. // Bond Buyer;9/2/2008, Vol. 365 Issue 32952, p10
Several tables are presented that list information on competitive bond offerings in the U.S. in September 2008 including their issuers, time of sale, and financial advisers.
- Competitive Note Offerings. // Bond Buyer;9/2/2008, Vol. 365 Issue 32952, p18
Several tables are presented that list information on competitive note offerings in the U.S. in September 2008 including their issuer, time of sale, and financial adviser.
- To Market, To Market. Field, Anne // Registered Rep;May2011, Vol. 35 Issue 5, p87
The article focuses on how financial advisor can market oneself to prospective clients and advisor recruits in the U.S. According to Indaba training specialist Hellen Davis, recruit advisors must seek out small guys with complementary areas of expertise in order to share resources. It suggests...
- Golden Handcuffs Loosen. Diamond, Mindy // Registered Rep;May2011, Vol. 35 Issue 5, p101
The article reports that financial advisors in the U.S. are considering options for switching firms, as retention agreements start to wind down. It states that over 20,000 advisors switched firms in 2009 after the market fails and three of the major Wall Street brokerage firms fall out from...
- Think You're Too Smart to Be Scammed? Guess Again. Huddleston, Pat // Registered Rep;Dec2011, Vol. 35 Issue 12, p3
The article provides tips on how financial advisors can prevent their clients' assets from scam or fraud through effective due diligence in the U.S. It indicates that advisors should admit vulnerability and know about the operation of fraud in order to track it. It also encourages them to...
- Fee-Rarely to Fee-Only. Field, Anne // Registered Rep;Dec2011, Vol. 35 Issue 12, p18
The article focuses on the increased number of fee-only financial advisors in 2011 in the U.S. It indicates that 90% of book of Pat Howley, whose practice has 300 million dollars worth of assets and 1.4 million dollars worth of revenues, is fee-based. It is said that the strategy is a useful...