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Dentistry is a unique profession. Dentists work in small businesses in highly regulated industries that can be financially and physically taxing. What other professionals have to spend the majority of their days hunched over with their mouths open? While suffering from a hunch might not sound like something a dental financial advisor could help you […]

WASHINGTON–(BUSINESS WIRE)–UBS Private Wealth Management today announced that wealth management advisors Mikail Qazi and Timothy Martin have joined the firm in Washington, DC. The team manages approximately $500 million in client assets for high net worth and ultra high net worth individuals and families. Mikail and Timothy join the UBS Northeast Private Wealth market, managed […]

By Rita Cook His recipe for success is based on a well-balanced set of ideals: one part being a leader, three parts being a defender, and top it with a healthy dose of honesty, integrity, and kindness. This is how Edward Jones Investments Financial Advisor Shawna Roscom goes about her daily life and works to […]

JP Morgan says he has expanded his previous commitment to historically black colleges and universities and their students. The company has committed $30 million for a five-year program, expanding a 2019 initiative called Advancing Black Pathways, rolled out “to chart clearer pathways to economic success and empowerment within the Black community,” according to the society. […]

Use: Financial advisor support specialist (advice and business plans for financial advisors) Salary: Base salary $60,000, bonuses not included. Annual income is $90,000 Financial goal: Save $100,000 in a family trust Mum of four and career woman Jovon Willis wants to make generational wealth a way of life for his family. “People talk about generational […]

During his career in wealth management, Kevin Murphy has embraced certain investment principles. One is to believe in America. And invest in blue chip companies with the potential to pay dividends. Then there are the golden rules of the Rotary Club, a group of which he has been a member for decades: is this the […]

Competitora partnership of independent wealth managers affiliated with Raymond James Financial Servicesadded a team of four financial advisors from Wells Fargo. Marc Sullivan, Michael Schulz, E.Steelman Ketchum and C. Shawn Roberts – who have worked together in the Wirehouse channel for nearly two decades – have formed Vision Wealth Advisors in Columbia, South Carolina, joining […]

Financial services professionals challenge Security and Exchange Commissionfocuses on payments for order flow, according to Dispatches. Last week, the chairman of the SEC Gary Gensler said he had told commission staff to investigate ways to ‘mitigate’ conflicts of interest in the system in which brokerages make money by routing their clients’ orders to some market […]

Financial planning is not just about crunching numbers and making projections, like a book published by the Board of Certified Financial Planners Standards seeks to highlight the importance of psychology to the profession. The CFP Board published “The Psychology of Financial Planning” in April, which explores what Joseph Maugerigeneral manager of business relations, described as […]

Raymond James offers training programs that can help the firm improve the diversity of its advisors by targeting new talent out of college or in another role within the company. These include the firm’s Wealth Management Associate Program and its Registered Associate Mentorship Program. The Wealth Management Associate program was launched in 2020, while RAMP […]

Your family turns to you for financial advice, for good reason. You’ve been saving for retirement and reaping the rewards of annual compounding since your first job right out of school. You keep your credit card debt low and keep an eye on interest rates. When it comes to choosing investments, you are educated and […]

NEW YORK, June 7, 2022 /PRNewswire/ — Zinnov, a leading global management consulting and strategy advisory firm, acted as exclusive financial advisor to Cyient, a leading advisory-focused, industry-focused global technology solutions company, in its acquisition by Celfinet. Based at Lisbon, PortugalCelfinet is a global wireless engineering services company focused on providing end-to-end network planning and […]

SPRINGFIELD, Mo. (KY3) — The start of 2022 has been a volatile one for investors, and a sure bet doesn’t hit as hard. Stephen Evans, certified financial planner and owner of Evans Wealth Planning in Springfield, said the bond market was crazy. “It’s pretty, pretty crazy to think that you wouldn’t expect this asset class […]

The relationship between a client and a financial advisor should be based on trust. Clients need to feel that their advisor intimately understands their perspective, goals, challenges and overall financial situation. And starting with shared cultural experiences can help build that trust. Black, Indigenous, and People of Color, or BIPOC, may find it easier to […]

Focus Financial Partners declares to have concluded an agreement for Grecu Capital Management join your partner firm Buckingham Strategic Heritage. Grecu takes an approach to investing based on academic research and provides independent financial planning and wealth management services to high net worth individuals, business owners, executives and healthcare professionals, according to Focus. The registered […]

A financial planner has taken to social media to grow her client base – and she thinks more advisers can use the platform to their advantage, according to media reports. Britney Castro became a financial advisor in 2006, registering with Ameripriseand left for LPL Financial in 2010, according to Security and Exchange CommissionInvestment Advisor Public […]

The head of UBS Wealth Management USA took LinkedIn to congratulate a longtime UBS financial advisor on making his millionth cold call. “When I first met Jonathan Bottema CFA in 1998, he was in a small room in Wayzata, MN with a phone diligently calling prospects to start a business,” Jason Chandler wrote last week. […]

Retirement savers rely heavily on commission-based finance professionals, according to new survey results. Only about one in 10 retirement savers surveyed by the American Council of Life Insurers are very confident that they could handle financial planning without professional help. The finding is based on a survey of 506 people who are financial decision makers […]

Retirement savers rely heavily on commission-based finance professionals, according to new survey results. Only about one in 10 retirement savers surveyed by the American Council of Life Insurers are very confident that they could handle financial planning without professional help. The finding is based on a survey of 506 people who are financial decision makers […]

Welcome to the 258th episode of the Financial Advisor Success Podcast! My guest on today’s podcast is Joseph Pitzl. Joe is the founder of Pitzl Financial, an independent Minneapolis-area RIA that oversees nearly $270 million in assets for nearly 270 client households. What is unique about Joe, however, is his unique next-generation career path in […]

Forbes honors Tyler’s financial adviser A financial adviser to Tyler recently received two awards from Forbes. Jennifer Sampson, who serves as Senior Vice President of Wealth Management and Senior Portfolio Manager at UBS Financial Services, has been honored as the State of Texas’ Top Wealth Advisor for 2022. Sampson began her career at Fidelity Investments […]

Divorce can be a painful and exhausting process both emotionally and financially. The way it shakes also affects the rest of your life. “Because divorce can be complicated, emotionally charged and have lasting consequences, getting qualified advice in a timely manner can provide many short- and long-term benefits,” says Jeff Spivack, senior financial planner at […]

Cerulli Associates says he partnered with an asset manager Invesco a new tool to help financial advisors assess their practices. The Practice Innovation Index, as the new offering is called, compares various characteristics of a consulting practice across four areas: business development, wealth management, client service and practice management, according to Cerulli. . The index […]

the Security and Exchange Commission says he banned a former financial adviser for allegedly stealing hundreds of thousands of dollars from one of his clients. Steven Muntin began his career in the financial services industry in 1993, registering as a broker with Royal Alliance Associates in Brighton, Michigan, according to BrokerCheck. He left the firm […]

“I didn’t even know this award existed, but to go on and be selected as a recipient was both amazing and humbling.” — Kathleen Spain By Scott Prater mountaineer staff Kathleen Spain FORT CARSON, Colo. — A Fort Carson Army Community Service (ACS) financial advisor recently won a prestigious national award for her service to […]

Andina Advisors is focused on assisting individuals, families and business owners in creating a legacy of wealth. They have helped many clients create solid plans for investments, taxes and estate planning. Led by a team of seasoned professionals, Andina Advisors are dedicated to providing essential services such as risk management and estate planning to individuals, […]

Vestia Personal Wealth Advisors focuses on serving a niche clientele: high-income physicians. The Fort Wayne, Indiana-based registered investment advisory firm was established in January 2018. It currently serves 530 client households with $500 million in assets, according to the partner and managing director. Lauren Oschman. High-income doctors — those earning more than $400,000 a year, […]

MINNEAPOLIS–(BUSINESS WIRE)–May 10, 2022– Private Wealth Advisor Christine Gustafson, founder and managing director of Phoenix Wealth Management, recently joined Ameriprise Financial, Inc. (NYSE: AMP) from UBS with more than $450 million in client assets. Gustafson and his team operate from their office in Phoenix. They chose Ameriprise because of the company’s long-standing commitment to financial […]

Ellysa Harris, Plainview Herald May 6, 2022 Gary Massingill was recently recognized as one of Edward Jones’ top financial advisors. The firm hosted a managing partner conference in Arizona late last month to celebrate the accomplishments and contributions of the organization’s top 400 advisers. The company has about 19,000. “These financial advisors have demonstrated an […]

Stock image | Photo by BrianAJackson/iStock/Getty Images Plus, St. George News FEATURE – If your advisor died or became incapacitated, do you know who would step in to manage your account? Stock image | Photo by nito100/iStock/Getty Images Plus, St. George News Almost everyone who has started the task of shaping their ideal retirement probably […]

[Editor’s Note: Allow us to introduce you to our newest partner in the real estate investing space. Dr. Jim Dahle has been investing with MLG Capital since late 2020, and now, WCI has partnered with this top-notch company so you can invest in private commercial real estate with confidence. Oh, and in case you’re wondering […]

NewEdge Wealth hired another team of veteran financial advisors from UBS. The latest recruits are financial advisors Louis Bell, Stephane Bell, Marc Levitt and Jamie Wolffas well as four support staff, who serve ultra-high net worth families, business owners and nonprofits, according to NewEdge. Luis Bell began his career in the financial services industry in […]

One of the most baffling things about our business is that only about four in 10 Americans choose to work with a financial advisor, even though it’s been shown by numerous academic and industry studies to produce better results for investors. Why aren’t more people using an advisor? Many believe they can manage their investments […]

LPL Financial has pushed its industry-leading adviser headcount to more than 20,000 and beat first-quarter profit estimates despite falling stock markets, leading to lower client assets. Quarterly earnings statements published on Thursday show increased profits, revenue and planners for the nation’s largest independent broker and CEO Dan Arnold said in prepared statements that the company […]

A former financial adviser faces charges of embezzling more than $300,000 from one of his consulting clients. On Wednesday, authorities arrested Adam Belardinomanaging director of a New York-based financial advisory firm Maddox Groupand unsealed an indictment charging him with fraud, according to the U.S. Attorney’s Office for the Southern District of New York. Belardino allegedly […]

CHARLOTTE, NC, April 26, 2022 (GLOBE NEWSWIRE) — LPL Financial LLC (Nasdaq: LPLA) today announced that financial advisor Michael Gavett has joined LPL, joining Linsco by LPL, the model of advising company employees. He will be the first counselor in a new Dallas-based Linsco office. Gavett said he served approximately $265 million in advisory, brokerage […]

Breadcrumb Links MoneyWise Canada future money New legislation designed to protect consumers from misguided financial advice Author of the article: Jirapong Manustrong/Shutterstock Content of the article Unless you live in Quebec, you can call yourself a financial planner or financial advisor without any professional credentials to prove it. Advertisement 2 This ad has not loaded […]

An employee of a California-registered investment advisory firm affiliated with LPL Financial was found dead in his apartment, and one of his colleagues was arrested, according to dispatches. On Tuesday, officers responding to calls about a possible assault found two men, later identified as 23-year-old roommates Griffin Cuomo and Jonathan Bahm, died in an apartment […]

BEVERLY HILLS, Calif.–(BUSINESS WIRE)–April 20, 2022– On behalf of Raymond James, we are proud to announce that Lisa Detanna has been named by Barron’s to the Top 100 Financial Advisors of 2022 list, which highlights one hundred top performing advisors across the country. This press release is multimedia. View the full press release here: https://www.businesswire.com/news/home/20220420006174/en/ […]

According to a new report, students who want to break into the financial advisory industry should focus on their interpersonal skills as well as their credentials. For example, 71% of finance professionals believe students should pass their Certified Financial Planner exam before graduating, CRM provider Redtail Technology said. The findings are based on a survey […]

Financial advisors need a lot of support in their efforts to help vulnerable customers, says Merrill Lynch‘s supervisor. “One of the things I observe and think about in our industry is if you’re an advisor and if you’re really troubled by a client’s potentially diminished capacity, or a member’s goals family, or a third party […]

By Jay Jung Undeniable advantages come with wealth, but there is also a disadvantage. Greater financial assets mean greater financial headaches. The National Financial Education Council says a lack of personal financial knowledge costs the average American $1,200 a year. Just imagine what is at stake for you as a not so average high net […]

By guest comment Friday, April 8, 2022 By Regina Korossy Since Russia invaded my native Ukraine in February, I have struggled to both calm my clients’ emotions over market fluctuations and my own distress over the destruction of my homeland. This has not been easy. Regina Korossy In recent weeks, being a Ukrainian American and […]

LPL Financial says it has made progress in 2021 to bolster diversity among the ranks of its employees as well as its financial advisers, although the improvements have been uneven. Seventeen percent of LPL advisors, for example, are women — a proportion LPL hopes to improve with other diversity goals, the company says in its […]