by Patrick M. Kelly | Dec 4, 2012 | Financial Advisors, Financial Services Industry
Merrill Adds Ten Big Producers – UBS Picks from Merrill – Wells Adds 24 Since August OnWallStreet.com announced this week that Merrill Lynch has hired 10 financial advisors from rival wirehouse firms who managed a total of $1.07 billion in assets and had...
by Patrick M. Kelly | Nov 19, 2012 | Financial Advisors, Financial Recruiting Industry, Financial Services Industry
As regulations tighten around Wall Street firms, we’re seeing more financial advisors being terminated for offenses which in the past may have been handled with a simple reprimand. Termination need not be a “career buster,” but certain steps need to be put into action...
by Patrick M. Kelly | Oct 26, 2012 | Financial Advisors
The CFP Board of Standards will not subject financial advisors who have declared bankruptcy to disciplinary proceedings. Under the new rules, approved by the Board of Directors, CFP Board will no longer investigate, and the Disciplinary and Ethics Commission will no...
by Patrick M. Kelly | Aug 2, 2012 | CPAs, Financial Advisors, Financial Services Industry
How often does a CPA offer tax-efficient investment strategies to their clients? Quite frequently, actually, and without asking for additional pay for this financial advice. John Azodi, a CPA and financial planner personally believes that “every CPA either needs to...
by Patrick M. Kelly | Jul 31, 2012 | Financial Advisors, Wall Street
The nation’s largest independent broker-dealer, LPL Financial set out to improve their Model Wealth Portfolio platform, already highly successful. To become more efficient, the firm added more strategists to the platform, including their own research arm, Morningstar....
by Patrick M. Kelly | May 15, 2012 | Financial Advisor Job Recruits, Financial Advisors, Hiring, Job Market
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