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Summary: Being a financial advisor brings many positive experiences — helping clients buy their first home, pay for their children’s college, and pursue their life and retirement goals. It also comes with the occasional emotional blow. None hit harder than the death of a client.
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Summary: When the SEC came out with its proposed best interest standard for broker-dealers (and, by extension, for their brokers and reps), I wrote a detailed comment letter in response. It was a beautiful letter. I eloquently pointed out that the “best interest” standard detailed in the proposal was exactly the same as the current “suitability” standard that I helpfully copied for the SEC staff off the FINRA website.
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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.
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Summary: Two recent client stories opened my eyes to something I thought we left behind in high school — peer pressure. Their experiences floored me, and I realized we have to help clients combat much more than just their internal money scripts to achieve financial peace. How do we help them not succumb to the sometimes crippling judgment of others? In turn, how do advisors avoid the same forces?
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Summary: Wealth managers believe health insurance is the single biggest healthcare-related issue currently facing their clients, according to a recent study.
