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Summary: Earlier this year, I wrote a column titled “You Might Be a Salesperson If…” in which I described some traits of planners whose primary activity is sales, rather than advice. I was surprised by the vehemence of the emails and online responses from people who first self-characterized as salespeople based on what I wrote, and then objected to my depiction of them.
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Summary: The ability to communicate and perform financial transactions over the internet has provided convenience and time management for many people. However, with more and more transactions conducted over the web, the federal trade commission reports that about 9.9 million people are victims of identity theft each year.
Added on September 2016 in Form an RIA
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Summary: A new analysis by the Institute for the Fiduciary Standard found that the Form ADVs of nine large financial services firms, including Edward Jones and Merrill Lynch, have more conflicts of interest than those of the 135 registered investment advisors surveyed. But perhaps more telling, and often overlooked, is the fact that conflicts of interest are on the rise among RIA firms, which hold themselves out to be independent entities offering objective fiduciary advice.
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Summary: Everyone is gifted, but most people need help ”unwrapping their gifts,” because those gifts sit dormant, buried under layers of self-doubt, fear of failure, and feeling like they really don’t have what it takes to make a lifelong career of financial advising.
Added on September 2016 in Join an RIA
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Summary: Culturally modifying the French axiom to the American way, the updated version might be, “The more advisers change firms, the more advisers face lawsuits.” Nevertheless, many advisers think that the potential future rewards justify the risks.
