Bank & Financial

Magazine articles on banks, brokerages, and credit card companies.

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Current Bank & Financial Articles

Financial Planning May 1, 2013 Suzanne McGee	Say Goodbye to Bad Clients For a variety of reasons, advisors sometimes need to cut ties with clients. Here s how to make a clean break.
Financial Planning May 1, 2013 John J. Bowen, Jr.	How to Choose a Great Coach If your practice needs a push, it may be time to get professional help. Just make sure you find the right partner.
Financial Planning May 1, 2013 Glenn G. Kautt	Success Secret? It's Preparation Conventional wisdom is often wrong about what it takes to achieve great results.
Financial Planning May 1, 2013 Bob Veres	Best Way to Wow a Client You know you re supposed to provide great client service. Is anybody telling you how to do it?
Financial Planning May 1, 2013 June Fletcher	Elder Housing Options for Clients Aging clients may need to adjust real estate holdings to address changing health care needs. Here are 7 strategies to consider.
Financial Planning May 1, 2013 Martin Shenkman	New Take on Trust Strategy Tax changes may affect investing ideas about bypass trusts, grantor trusts and other estate planning steps.
Financial Planning May 1, 2013 Joel Bruckenstein	Building a Smarter Portfolio Riskalyze Pro's risk-assessment and portfolio-construction tools aim to help you keep clients from buying high and selling low.
Financial Planning May 1, 2013 Ingrid Case	New Rules for Real Estate Investing Real estate investing is not for everyone - but for interested clients, a good planner can make all the difference.
Financial Planning May 1, 2013 Laton McCartney	Core ETFs Dominate Fund Flows For ETF investors, a focus on the broad, diversified asset classes has been paying off.
Financial Planning May 1, 2013 Scott Wenger	Editor's Note: Real Estate Returns As the housing market rebounds, advisors face new challenges - and many new opportunities
Financial Planning May 1, 2013 Ilana Polyak	Picking Baron Real Estate's Hot Properties Perfect timing helped Baron Real Estate s Jeff Kolitch launch the fund with a bang. The next steps are trickier.
Financial Planning May 1, 2013	Ameriprise's Don Froude: 'Take Care of My Family' For the head of Ameriprise Financial s Personal Advisors Group, the ultimate compliment is to have a client turn to his planner in time of crisis.
Financial Planning May 1, 2013 Charles R. Chaffin	Making the Case for CFP Standards While the planning profession has evolved considerably, there is still work to be done.
Financial Planning May 1, 2013 Allan S. Roth	Are Stocks Really More Volatile Now? The stock market has been more erratic in recent years - but not as much as you might think.
Financial Planning May 1, 2013 Craig L. Israelsen	Alternative Investments With the Best Payoff Some nontraditional investments can provide valuable diversification in a portfolio. But choose wisely.
Financial Planning May 1, 2013 Charles Paikert	Firms Face Advisor Talent Shortage A dearth of suitable candidates is putting a strain on growing firms - and sharply boosting the price tag for top advisors.
Financial Planning May 1, 2013 Jim Grote	How to Find Cash-Flow Real Estate Planner Rich Arzaga believes individually owned property is key to a diversified portfolio. Just don t get him started on home ownership.
Financial Planning May 1, 2013	May Women Advisors Forum Events Feature Top Planners Topics include expanding a practice, working with divorced clients and more
Financial Planning May 1, 2013	Advisor Optimism Hits New High Sentiment climbs, buoyed by big increases in retirement planning activity and fees.
On Wall Street May 1, 2013 Braswell et al.	Top 10 Branch Managers of the Year This year s top branch managers found a way to succeed during the most challenging times.
On Wall Street May 1, 2013 Lorie Konish	Editor's Letter: Top Branch Managers Give Lessons in Leadership A run-down of the stories in this issue, identifying the top branch managers in the wealth management industry, and learning what it takes to get to the top.
On Wall Street May 1, 2013 Lorie Konish	U.S. Trust Banks on Future Growth A three-year plan helped the renowned private bank merge with a rival and find its way out of the financial crisis. Now, it s prepared to leverage its resources across Bank of America.
On Wall Street May 1, 2013 Cumming & Horwitz	SEC Takes on Structured Notes Large banks need to provide better information on these complex securities sold to the wealthy, regulator says.
On Wall Street May 1, 2013	Five Questions with Meir Statman The professor of finance at Santa Clara University, Calif., discusses where investors are today and how financial advisors need to address clients emotional outlook on the markets.
On Wall Street May 1, 2013 Lorie Konish	Younger Clients Need More Direct Contact from Advisors Twenty- and thirty-somethings take investing cues from their parents, and advisors need to reach them by phone or have face-to-face contact, according to a survey.
On Wall Street May 1, 2013 Mason Braswell	Retirement Planning Missteps: Older Clients Need Less Money Management Advice Starting holistic planning earlier will help preserve boomers wealth.
On Wall Street May 1, 2013 John Diehl	Managing the High Anxiety Client Nervous clients might seek negative information to support their beliefs. Here s how to ease their fears.
On Wall Street May 1, 2013 Pat Olsen	Life Stories: Bank of America Merrill Lynch s David Tyrie Discusses His Life David Tyrie, managing director and head of personal wealth and retirement for Bank of America Merrill Lynch, discusses his 26 years in the securities business.
On Wall Street May 1, 2013 Matthew Lemieux	Getting Ready for Rising Rates Unfettered interest in fixed income has persisted, despite the reality that interest rates will rise.
On Wall Street May 1, 2013 Todd Colbeck	Ways to Keep Employees Engaged Managing staff isn't easy. People don t change and you can t change someone either before or after you ve hired them.
On Wall Street May 1, 2013 Alan J. Foxman	When It's Okay to Share Clients Our legal expert discusses things to consider before making a referral to a nonaffiliated third party.
On Wall Street May 1, 2013 Bill Willis	How Advisors Can Prepare for Compensation Disclosure Rule New rules to disclose recruitment compensation may be blooming soon.
Registered Rep. April 29, 2013	Photo Gallery: Ten Advisors Who Give Back Advisors have many charitable projects including foreign and domestic aid to homeless shelters, the American Heart Association, and supporting charter schools.
Registered Rep. April 29, 2013 Megan Leonhardt	Putting Out Fires: Shawn Babendure Advisor Shawn Babendure became a financial advisor, overseeing $152 million for clients with UBS in The Woodlands, a suburban development north of Houston. He is also a volunteer fire fighter.
Registered Rep. April 29, 2013 Diana Britton	Charter School Trailblazer: Michael Brown Advisor Michael Brown has been on the board of trustees for the East Harlem Tutorial Program for several years, and he was one of the founding members of the East Harlem Scholars Academy.
Registered Rep. April 29, 2013 Anne Field	Aide to the Hearing Impaired: Richard S. Brown Advisor Richard Brown works with a group, which provides hearing aids to underserved communities around the world.
Registered Rep. April 29, 2013 Anne Field	A Mother's Mission: Shelly Church Advisor Shelly Church organized fundraising walks around her home of Naples, Fla., and ran the local chapter of the American Heart Association.
Registered Rep. April 29, 2013 David Armstrong	Think Locally, Act Globally: Margaret Graff Advisor Margaret Graff's foundation, Mundito, supports Free the Slaves, an international organization dedicated to ending modern day slavery.
Registered Rep. April 29, 2013 Elizabeth Ody	Soldiering On: John G. Kulhavi Advisor John G. Kulhavi probably wouldn't call himself a hero. But it's hard not to think of that word when noting Kulhavi's accomplishments as a decorated Vietnam War veteran and generous donor and volunteer for charitable causes.
Registered Rep. April 29, 2013 Diana Britton	Hope Amid Uprising: Doug Myers Advisor Doug Myers and his wife have personally donated $200,000 to an Egyptian orphanage.
Registered Rep. April 29, 2013 Elizabeth Ody	Enabling the Disabled: Don Whitehead Don Whitehead wins the Advisor with Heart Award and volunteers through TIRR Memorial Hermann, a Houston hospital that specializes in rehabilitation.
Registered Rep. April 29, 2013 Megan Leonhardt	A Friend to Fido: Jack Wimer II Advisor Jack Wimer, a Grove, Okla.-based advisor, founded Friends of Fido, an organization focused on getting meals to pets with owners participating in the local Meals on Wheels organization.
Registered Rep. April 29, 2013 Brill & Donovan	The Perils of Global Giving Global philanthropy is on the rise, but wealthy individuals and foundations need to avoid the legal pitfalls.
Registered Rep. April 29, 2013 David Armstrong	Editor's Letter: May 2013 The editor comments on eliminate mandatory arbitrations in conflicts between advisors and clients, plummeting advisor confidence, and a correction to a story about investing in Europe.
Registered Rep. April 26, 2013 Megan Leonhardt	All That Glitters... James Rickards is a 35-year veteran of Wall Street and the capital markets. An avowed proponent of holding gold and a critic of the Federal Reserve, he's the author of Currency Wars: The Making of the Next Global Crisis and a senior managing director of Tangent Capital in New York City.
Registered Rep. April 25, 2013 Matt Oechsli	Friend Me The Oechsli Institute's 2013 Affluent Investor Research paints a very clear picture: Today's affluent investor insists on having a business and personal relationship with their financial advisor.
Registered Rep. April 23, 2013 Anne Field	Drowning in Accounts The first challenge? Getting clients. The second? Getting rid of them.
Registered Rep. April 22, 2013 Stan Luxenberg	The Upside to Doing Good Advisors have traditionally steered clear of socially responsible investment funds, but some SRI funds excel in downturns. Many investors -- with no interest in SRI -- are starting to notice.
Registered Rep. April 22, 2013 Brad Zigler	Time For A Deflation Hedge? A handful of funds promise protection against falling prices.
Registered Rep. April 17, 2013 Kevin McKinley	Sheltering Clients From the Taxman Several investment strategies can protect high-income clients from new taxes and higher tax rates.
Registered Rep. April 12, 2013 Mark Miller	Retirement and Health Care: Bad Rx You and your clients are likely underestimating how much will be spent on health care during retirement. Here's how to predict the costs.
Registered Rep. April 3, 2013 Diana Britton	The Big Bet on Rising Rates Some managers are rolling out long/short bond funds meant to hedge against rising interest rates. But the success of their strategy rests on a market call, and no one can predict when rates will rise.
Registered Rep. April 2, 2013 Megan Leonhardt	The Counselor: Peggy Ruhlin Ruhlin discovered that financial planning gave her the freedom to juggle her duties as a single mom with the opportunity for career satisfaction and client contact that first drew her into the financial services industry.
Registered Rep. April 2, 2013 John Kador	The Puzzler #35 This Month's Contest: WORDS IN COMMON and the solution to the previous puzzler called "Business Mileage"
Registered Rep. April 2, 2013 Megan Leonhardt	Blotter: April 2013 Blame it on the tsunami?... Behind bars for living large on client assets... Advisor stealing from the elderly...
Registered Rep. April 2, 2013	60 Seconds with Chet Helck Chet Helck is Chair of the Securities Industry and Financial Markets Association, and CEO of the Global Private Client Group at Raymond James Financial.
Registered Rep. April 2, 2013 Diana Britton	Comings & Goings: April 2013 Scott Collins, former CEO of FirstPoint Partners, has moved to TD Ameritrade Institutional... Raymond James has named Vin Campagnoli as chief information officer... Convergent Wealth Advisors has hired John Mastal as managing director...
Registered Rep. April 1, 2013 Diana Britton	The New Face of The Fiduciary Just when the industry thought it didn't have to worry about the DOL, the agency has made it clear that its fiduciary standard is imminent. For registered reps and RIAs alike, it could change the game.
Registered Rep. March 28, 2013 Lauren Barack	Drive-Through Advice The mass affluent aren't worth a planner's time, right? New technology is upending that assumption and opening up entire new markets to forward-thinking advisors.
Registered Rep. March 26, 2013 Stan Luxenberg	The Passive Letdown Passive funds have lagged active managers in a variety of fixed income categories, including intermediate-term bonds, high yield, and preferred shares. Can passive funds turn around and move to the front of the pack in coming years?
Registered Rep. March 25, 2013 Brad Zigler	Foreign Affairs Currency war? No. But you can still profit from the slide in the Yen.
Registered Rep. March 22, 2013 Mindy Diamond	Of Myths and Moving: Part IV When it comes to preconceived notions about the wirehouse world and independence, many advisors have it all wrong. Here are the five most common myths advisors have today.
Registered Rep. March 22, 2013 Matt Oechsli	What Women Want When Shopping for an Advisor Affluent women are now more involved in major purchase decisions than ever before. Here's what they're looking for in an advisor.
Registered Rep. March 20, 2013 Kador & Cohen	The Devilish Details of Angel Investing Angel investing can be fraught with peril -- for both the investor and the entrepreneur. But the devil's in the details. Here's a guide for mixing business with family and friends.
Registered Rep. March 19, 2013 Anne Field	Printer? Check. Office Supplies? Check. But Where is The Corporate Ladder? Successful firms have defined career tracks, and they usually end at "partner."
Registered Rep. March 15, 2013 Megan Leonhardt	A "Tougher" FINRA? FINRA has stepped up the number of cases and the value of fines they levied against advisors last year, but that doesn't neccessarily mean that the indstury's self-regulatory organization is getting any tougher.
Registered Rep. March 14, 2013 Kevin McKinley	Deductible Me Help clients understand how to get all the tax deductions they are entitled to, including home, health and education, and possibly even the fees they pay to you.
Registered Rep. March 14, 2013	Keeping Brokers Happy Cerulli research reveals the B/D products brokers really value, and those they don't.
Registered Rep. March 13, 2013 Alan Lavine	Old Money For advisors, it pays to insure a client's valuable collectibles, like antiques, rare toys, ceramics or wine; but it's crucial to find reputable appraisers and carriers.
Registered Rep. March 11, 2013 Diana Britton	When ETFs Close While it's rare for an ETF to shut down, it does happen, a recent WealthManagement.com survey found. Here are some of the warning signs.
Registered Rep. March 8, 2013 Mark Miller	Testing Two Retirement "Truisms" The consequences of living longer and a fragile Social Security trust fund on real world retirement plans are more significant than you think.
Financial Planning April 1, 2013 Ed Slott	New Rules for Roth 401(k) Conversions Changes for in-plan conversions are buried deep in the fiscal cliff tax deal. Here s how they may affect your clients.
Financial Planning April 1, 2013 Ann Marsh	9 Tips for Great Client Events A well-planned gathering can help your firm develop client relationships and strengthen ties with strategic partners.
Financial Planning April 1, 2013 John J. Bowen, Jr.	5 Success Tips From High-Performing Advisors A new study of high-earning advisors offers 5 clear success tips.
Financial Planning April 1, 2013 Dave Grant	Recruiting & Hiring Gen Y Advisors Younger planners have their own priorities. If you re investing in their professional development, consider these ideas to ensure they will stick around.
Financial Planning April 1, 2013 Deena Katz	Passing the Baton to Next-Gen Advisors When it comes to handing off your firm, make sure you communicate clearly with your next-gen advisors.
Financial Planning April 1, 2013 Bob Veres	Top 10 Advisor Worries Planners report that these worries and uncertainties dominate their thoughts about the profession.
Financial Planning April 1, 2013 Scott Wenger	Editor's Note: Teaming Up for Small Business As entrepreneurial clients build their businesses, advisors should bring in specialists to maximize the value
Financial Planning April 1, 2013 Martin Shenkman	Time for a New Estate Planning Strategy? Recent tax changes mean that planners may have to rethink the ways they invest clients assets.
Financial Planning April 1, 2013 Ilana Polyak	Investing the Islamic Way Adhering to Shariah principles, Amana Growth is also attractive to many non-Muslims.
Financial Planning April 1, 2013 Michael J. Nathanson	How to Create Top Advisors A smart human capital strategy is key to a successful wealth management company.
Financial Planning April 1, 2013 Craig L. Israelsen	Value vs. Growth: Which Investing Strategy Is Better? How do returns from these two types of equities compare? We test them - and find a real difference in performance.
Financial Planning April 1, 2013 Jim Grote	Retooling a 115-Year-Old Advisor Firm Since taking over as CEO of 115-year-old Bartlett & Co., Kelley Downing has overseen an ownership buyback and steady growth.
Financial Planning April 1, 2013	Retirement Advisor Confidence Index: Reality Check for Planners Advisor sentiment slips after a giddy start to the year, as clients sound a cautious note.
Financial Planning April 1, 2013 Miriam Rozen	Where the CFPs Are Now Are planners better off working in states with fewer competitors? Not everyone agrees on the answer.
Financial Planning April 1, 2013	Women Advisors Forum: Learn From the Best Next month's New York gathering offers sessions on divorce planning, career development, digital marketing and more.
Financial Planning April 1, 2013 Ann Marsh	Succeed With Small Business Clients It takes a team to serve small business clients - so make sure you know how to be a strong quarterback.
Financial Planning April 1, 2013 Donald Jay Korn	Safer Strategies for Leveraged Investing Borrowing to buy stocks is back in style, but many planners give short shrift to using leverage to improve long-term results.
Financial Planning April 1, 2013 William Atkinson	15 Ways to Fix Your Website Your last redesign is probably looking stale by now. Use these tips to start making changes.
On Wall Street April 1, 2013 Mason Braswell	Raymond James' New Breed Pushes Ahead After Morgan Keegan Acquisition The acquisition of Morgan Keegan added hundreds to Raymond James wealth management ranks one year ago. Branch Manager Robert Brewer reveals how he made the transition.
On Wall Street April 1, 2013 Kenneth Corbin	SEC Zeros In on Potential Conflicts of Interest The regulator's staff will investigate nondisclosures, misrepresentations, and more.
On Wall Street April 1, 2013 Lorie Konish	Five Questions with Matt Matrisian The director of practice management at Genworth Financial offers advisors tips on avoiding common blind spots.
On Wall Street April 1, 2013 Margarida Correia	Referrals Aren't Enough to Lure Clients Contrary to what many advisors assume, referrals do not automatically create new wealthy clients.
On Wall Street April 1, 2013 Donald Jay Korn	Ultra-Wealthy Wary of Trusting a Single Advisor While ultra-wealthy individuals tend to put their trust in wealth managers, the bad news is most tend to use multiple advisors.
On Wall Street April 1, 2013 Charles Paikert	New Rules for Art Collections Do your clients have plans in place to protect their valuable treasures from the elements?
On Wall Street April 1, 2013 Denise Federer	Facilitating Family Meetings Getting clients together as a family unit not only helps build wealth, but also cohesiveness.
On Wall Street April 1, 2013 Pat Olsen	Life Stories: Citigold Wealth Management's Venu Krishnamurthy Discusses His Life I joined Citi in early 2006 and in just over seven years have worked on three continents, in three different businesses: wealth management, consumer banking, and the institutional clients group.
On Wall Street April 1, 2013 Jeff Tjornehoj	Market Conditions Could Push Investors to Unconstrained Bond Funds Unconstrained bond funds may see renewed interest this year, but at what risk?
On Wall Street April 1, 2013 Lorie Konish	Editor's Letter: Transition at Raymond James A run-down of the stories in this issue, including a discussion of the year following the Raymond James merger with Morgan Keegan.
On Wall Street April 1, 2013 Lorie Konish	Talking to Small Business Owners in Transition When speaking with small business owners, be prepared with specialized knowledge, willingness to coordinate, and the ability to handle emotions.
On Wall Street April 1, 2013 Todd Colbeck	The Grand Slam Referral System Keep new leads coming in by branding yourself as a transition specialist.
On Wall Street April 1, 2013 Alan J. Foxman	Debunking Arbitration Rules Our legal expert discusses whether brokerage firms have to report arbitration actions against them.
On Wall Street April 1, 2013 Carri Degenhardt-Burke	Climbing Out of a Growth Rut When production stalls, advisors need to either get going or move on.
On Wall Street March 19, 2013 Bill Willis	Recruiter's Tour of Raymond James Morgan Keegan employees were required to make a home office visit after their firm was acquired by Raymond James.
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