Added on August 2018 in Form an RIA
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Summary: Earlier this summer, the Fifth Circuit Court of Appeals revoked the U.S. Department of Labor fiduciary rule, which required that financial advisors and brokers act in the best interest of their clients when overseeing retirement accounts.
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Summary: One of the toughest exams in finance is about to get more topical, and for some, more complicated. Starting next year, Levels I and II of the exam to become a chartered financial analyst will include more in-depth questions on fintech, including machine learning and ethics tied to the use of technology within a work setting.
Added on August 2018 in M&A Issues
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Summary: The merger between LJPR Financial Advisors and Sequoia Financial Group can be compared to a blind date gone perfectly right.
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Summary: When you shop online, your web browser tracks your Google searches and which products you click so it can automatically show you ads for related items you may be interested in. Amazon has a similar strategy to provide product recommendations, as does Netflix to suggest what movie or TV show you should watch next.
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Summary: As an advisor, you deal with complexity on a day-to-day basis. You’re managing investments, financial plans, client emotions, team dynamics, administrative paperwork, compliance and more. You can’t remember everything. It’s just not possible.
