Registration Required To View More Than 1 Article(s) in 30 Day(s).

Already registered?

Register for a free subscription to Financial Advisor IQ, a Financial Times service, written specifically for Financial Advisors. (All fields are required.)

There's no cost
Your information will not be shared without your consent
You get full access along with a daily news alert

Email*

Request access using a personal email account

First Name*

Last Name*

I am: *

A Financial Advisor
Not a Financial Advisor

Company Name*

Job Title

AUM

CE Credentials

You can now earn continuing education credits by reading selected content on FAIQ's ThinkTank. Enter your credentials below to start earning credits.

Accrediting Body

CFP^® Professional Number

CFP^® Certification Renewal Date (if known)

Password*

Password (retype)*

I agree to the Terms and Conditions and Privacy Policy*

Occasional emails from FA-IQ on behalf of trusted partners are acceptable.

Already a Financial Advisor IQ Reader?

Email
Password

Can't log in or forgot password?

Not yet registered for Financial Advisor IQ

August 17, 2018

Print This Issue

Text A A A

Select Issue By Date

Previous Issue

Morgan Stanley Age Discrimination Lawsuit Poses Questions For All 40+ Employees

Person making the age-bias claim against Morgan Stanley Funds Services is only 41 years old.

Wells Fargo Loses More Reps to These Three Rivals

These firms seem to be a destination for former reps.

Galvin Gets His Way in Scottrade Fiduciary Case

A judge has agreed to grant the Massachusetts regulator’s request to remand the case to the state.

Ameriprise to Pay $4.5M Over Alleged Failures Guarding Client Assets

Five Ameriprise reps allegedly stole over $1 million in client funds.

How Wealth Managers Can Use Pensions to Reduce Taxes

Defined-benefit plans let certain professional business owners reduce their taxable income.

Fill the Voids in Your Clients' Financial Lives

Add value to your clients' advisor experience by looking for ways to expand your services.

Topics

All Topics

The Client - Finding and winning new clients Wells Fargo Loses More Reps to These Three Rivals UBS and Morgan Stanley Shed Reps to Rivals	The Client - Client retention Wells Fargo Loses More Reps to These Three Rivals UBS and Morgan Stanley Shed Reps to Rivals Fill the Voids in Your Clients' Financial Lives
The Client - ERISA plans/institutional management Wells Fargo Beats Class Action Alleging Self-Dealing and Favoring its Own Funds	The Client - Behavioral finance Fill the Voids in Your Clients' Financial Lives America’s Youths are Unrealistically Optimistic About Finances

The Assets - Portfolio management Fill the Voids in Your Clients' Financial Lives Advise for the Long Term but Don't Miss Short-Term Opportunities	The Assets - Insurance planning IRS Likely to Favor Insurance Agents over Wealth Planners and Retirement Advisors
The Assets - Estate planning Merrill Lynch Lawsuit Brings Cautionary Tale to FAs Handling Client Estate Documents	The Assets - Tax planning How Wealth Managers Can Use Pensions to Reduce Taxes How Regional Banks Do Wealth Management

The Practice - Technology FAs Increasingly Turn to Fintech for Financial Planning How Many Millions AUM Do RIAs Need to Remain Competitive?	The Practice - Fees and compensation Two Ex-UBS Brokers Face Serious Watchdog Sanctions Ex-Morgan Stanley FA Scores $140K Win Against Wirehouse Wells Fargo Loses More Reps to These Three Rivals
The Practice - Staffing and recruiting Two Ex-UBS Brokers Face Serious Watchdog Sanctions Ex-Merrill Lynch FA Faces More Allegations of Theft from Clients UBS and Morgan Stanley Shed Reps to Rivals	The Practice - Regulatory/legal issues Two Ex-UBS Brokers Face Serious Watchdog Sanctions Why Merrill Lynch’s Bitcoin Ban Is Likely to Continue Ex-Merrill Lynch FA Faces More Allegations of Theft from Clients

1	Raymond James' Big Secret to Luring FAs from Rivals
2	"Defamed" and "Disgusted" Ex-Merrill Lynch FAs Fight Back in Court and Claim Victory
3	Ex-Merrill Lynch FA Faces More Allegations of Theft from Clients
4	Wells Fargo Loses More Reps to These Three Rivals
5	Broker and His Firm Charged on Improper UIT Trades

1	Why Merrill Lynch’s Bitcoin Ban Is Likely to Continue
2	Why Many Women Don’t Know They Want to be Financial Advisors
3	JPMorgan to Close Foreign Retail Clients’ Investment Accounts
4	Raymond James' Big Secret to Luring FAs from Rivals
5	Don’t Judge Me! Brokers With Disclosures Aren’t All Bad, Says Big Employer

1	Why Many Women Don’t Know They Want to be Financial Advisors
2	How Wealth Managers Can Use Pensions to Reduce Taxes
3	Raymond James' Big Secret to Luring FAs from Rivals
4	Why Merrill Lynch’s Bitcoin Ban Is Likely to Continue
5	As Wirehouse Branding Advantage Weakens, RIAs Become More Attractive

Registration Required To View More Than 1 Article(s) in 30 Day(s).

Already a Financial Advisor IQ Reader?

August 17, 2018

Topics

Most Popular