From Think Advisor
Added on January 2015 in Form an RIA
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Summary: Insufficient advisor exams, tax-free exchanges of variable annuities, binary options and reverse churning of clients with wrap fee accounts are among the top concerns the Securities and Exchange Commission’s Investor Advocate has in the new year.
From William Conroy
Added on January 2015 in M&A Issues
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Summary: It is an issue that many financial advisors will face during their careers. And it figures to significantly affect the course of their careers. When you leave a firm to start your own or join another, how much can you do to recruit the clients at your current firm to come with you?
From InvestmentNews
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Summary: You're an adviser, not a writer, right? Then why is it we seem to do so much writing these days? Whether it's writing a blog or an article, or preparing a presentation, we find ourselves having to communicate through the written word. Some advisers love it and others loathe it, but most advisers share one thing in common: They find it hard to write about themselves.
From wealthmanagement.com
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Summary: There are countless opportunities to use a brief story to connect with a prospect, too many to cover in this format. However, let me share with you some of the most common stock business questions financial advisors tend to get and would do well to have a personal situational story as a response.
From Financial Planning
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Summary: The landscape for financial advisors is rapidly evolving, and it can be difficult to keep up. Now that a new year is at hand, it’s time to reevaluate your business and take a fresh approach to growing it. Here is my list of the 15 big business moves advisors should make in the new year.
