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There comes a time when we reach an inflection point. Maybe it’s a milestone birthday, a new baby in the house, an empty house when the last child goes to college, a divorce, a remarriage, or even the death of a beloved family member or dear friend that prompts the realization that having professional financial […]

Financial advisers have several ways of dealing with clients who may behave erratically, including freezing their accounts. But what is the procedure when it is the adviser who presents a cognitive decline? “[T]he awkward part of the conversation [is] it’s not just the customers. It’s me, it’s you, it’s financial advisors. None of us are […]

Chris Hodgin joins the Green Valley team August 03, 2022 Veteran banker Chris Hodgin has joined Pinnacle Financial Partners as a financial adviser in the Green Valley Road office. “Chris has a long and successful career in the Greensboro market and consistently provides customers with effective service and advice,” said Jerry Bailey, Pinnacle’s regional manager […]

Most financial advisors, regardless of gender, feel successful, but there are key differences in what male and female advisors attribute their success to, according to the survey results. Seven out of 10 financial advisors believe they are successful, The American College Center for Women in Financial Services it says found in a survey of 800 […]

According to a recent survey, Americans with employer-sponsored retirement plans are reorganizing how they save for retirement due to inflation. Forty-five percent of 401(k) plan members now rate inflation as the biggest barrier to saving for retirement, Schwab says he found in a survey of 1,000 plan participants between the ages of 21 and 70 […]

MONROE, The. (KTVE/KARD) – What would life be like if you won the Mega Millions jackpot? The Mega Millions jackpot has now reached $1.28 billion, making it the second largest Mega Millions jackpot in history. KTVE spoke with Michael J. Fulco, a local financial advisor with over 30 years of experience, who says don’t make […]

Advisor group says it has partnered with two healthcare companies to launch a wellness program for the nearly 2,300 employees in its network. The new program, which provides physical, mental and financial health support to Advisor Group employees and their families, is in partnership with a virtual behavioral healthcare company Discussion area and health society […]

CAREER CHANGE: Stephanie Smith Submitted by Ambitious PR A Leicestershire Pilates and wellness expert who moved into the role after a riding accident has launched a new career in financial advice. Stephanie Smith, 54, a business development and communications professional, had to rethink her career after the accident and start a business as a Pilates […]

UBS said to have attracted a team of financial advisers from BNY Mellon Wealth Management in San Francisco. Lauren Kinch and Andrew Baumgartner join UBS and partner with UBS advisors Chris Clifford and kate kennedy form Labyrinth Heritage Advisorsaccording to UBS. The 12-person team, which includes attorneys, certified public accountants and a certified financial planner, […]

UBS said to have attracted a team of financial advisers from BNY Mellon Wealth Management in San Francisco. Lauren Kinch and Andrew Baumgartner join UBS and partner with UBS advisors Chris Clifford and kate kennedy form Labyrinth Heritage Advisorsaccording to UBS. The 12-person team, which includes attorneys, certified public accountants and a certified financial planner, […]

GK Capital Management Limited (GKCM) has entered into an exclusive engagement with Regency Petroleum Limited (RPL) as financial advisor to assist the oil marketing company in raising capital to facilitate the growth activities of the business. The engagement with GKCM will likely result in an initial public offering (IPO) of RPL common stock through the […]

LPL Financial says he named Bill Sappington to the newly created position of Executive Vice President of Banking and Lending Solutions. Sappington will lead LPL’s banking and lending solutions, developing and executing a strategy to deliver an offering to the firm’s advisors and clients, according to LPL. He will report to the General Manager and […]

Merrill Lynch created a new position of Vice-President which will be occupied by Jeff Markham. Markham will work with advisors and field leaders to strengthen client relationships and, if needed, provide additional support to senior management, according to Merrill. He will also lead Merrill’s Community Markets program, designed to add resources and hires to previously […]

The firm launched by a former financial adviser Eric Edelman has rolled out a new online course aimed at educating financial advisors about non-fungible tokens, or NFTs, while earning them continuing education credits. The Finance Professionals Digital Asset Council says it launched “Understanding NFTs”, a self-study course taught by a DACFP faculty member Jacki RoachChief […]

Editorial Note: We earn a commission on partner links on Forbes Advisor. Commissions do not affect the opinions or ratings of our editors. When it comes to finances, be sure to work with someone who has your best interests in mind and has the skills to meet your particular needs. Private wealth managers and financial […]

You’ve worked hard to build a substantial nest egg and you need to make sure it’s well managed. Maybe you’re considering helping your daughter put down a down payment on a home without jeopardizing your retirement lifestyle. You’re ready to choose a financial advisor and want to do your due diligence to find one you […]

As financial advisors navigate their clients through market volatility and inflation, they’re looking more critically than ever at their current brokerage firms, according to a new survey. Registered representatives at nine of the 13 wealth managers ranked in JD Power’s annual Advisor Satisfaction Survey received lower scores than the previous year. At least 15% of […]

Cheryl Mothes, Financial Advisor to Edward Jones, Natural Nutrition Advisor and Co-Owner of Fresh Healthy Café in Cape Girardeau Photo by Jasmine Jones Cheryl Mothes, financial advisor to Edward Jones, natural health nutrition consultant and co-owner of the Fresh Healthy Café in Cape Girardeau, was getting ready for work one morning in 2019 when she […]

Editorial Note: We earn a commission on partner links on Forbes Advisor. Commissions do not affect the opinions or ratings of our editors. Although the terms financial advisor and financial planner are often used interchangeably, there are distinct differences between these two types of professionals. If you’re hesitating between a financial advisor and a financial […]

The Certified Financial Planner Standards Council says it has suspended a veteran financial adviser accused earlier this month of breaches of the Security and Exchange Commission‘s Best Interest Rules. Patrick Egan was one of five brokers in Pasadena, Calif. Western International Titlesas well as the company itself, which the SEC earlier this month accused of […]

Bethel Assembly of God (111 Totten Lane, Front Royal, VA 22630) had the honor of hosting Sergeant Major (Retired US Army) James McGruder on Sunday, June 26e, 2022, for a very memorable flag presentation service. The service was hosted by church member and Warren County resident Tim Wolfe and was to coincide with the church’s […]

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 […]