Financial planning

In On Wall Street's fourth annual ranking, the young hotshots of The Street talk clients and strategy. Here's how this year's top 40 advisors under 40 stack up.

Looking for a stocking stuffer for your favorite financial planner? Check out the 10 best-selling books for advisors from Amazon.com.

Bank Investment Consultant magazine honored the industry's best bank-based financial advisors for 2010. Take a closer look at what makes them so great.

FINRA panel says firm must pay $1.8 million to investor.

Just when the advisory community was hoping that it had put Bernie Madoff behind it, federal authorities announced that two of the disgraced financier’s lieutenants have been indicted on criminal charges and are also facing a civil complaint from the Securities and Exchange Commission. Meanwhile, the Internal Revenue Service announced earlier this week that it has withdrawn the John Doe summons in the UBS AG scandal in which the U.S. demanded that the company hand over…

Collapsing margins – but serving customers better. Integrating complex platforms – then setting up standard-setting data centers, out of fresh cloth. Here’s how 10 top CIOs became the best on Wall Street.

It's difficult to overestimate the cost of hiring wrong. According to Top Grading by Dr. Bradford Smart, the average cost for a bad hire, earning between $50,000 and $100,000, is $80,000. While, there is no foolproof method that guarantees consistently good hires, here are some tips to maximize the chances of success.

S&P Equity Research, a division of the New York-based credit rating agency, identified 29 funds that achieved the highest overall five-star quantitative ranking in each of their respective categories, and gave them gold, silver and bronze placements.

For four days, advisors descended on Boston for insights on practice management, regulatory changes to help improve their business.

The ETF business is exploding with more providers entering the space and more interest from advisors and investors than ever before. Many advisors are becoming more sophisticated in their use of ETFs. However with rapid development comes confusion. The ETF 360 Summit on Oct. 21 in New York City helped advisors sort through the clutter and confusion, teaching them to identify the buying opportunities to get the best results for their clients.

For four days in October, financial planners and advisors descended on Denver for the annual FPA Conference, which delivered information, tips and advice to help practitioners build a better business.

As part of the magazine's 40th Anniversary celebration, the publication honored six practitioners that have made significant contributions to the financial planning industry.

Frances A. McMorris, On Wall Street’s editor-in-chief, continues her new blog with a closer look at the comments streaming in to the SEC regarding a new fiduciary standard

For three days in late June, advisors, industry executives and fund managers descended on Chicago for the 2010 Morningstar Investment Conference. The audience received insight on the flash crash, international investing and the impact of the oil spill in the Gulf of Mexico. Industry bigwigs, including Vanguard's William McNabb, were among the speakers. (See part 1 here.)

Bank Investment Consultant Magazine's Top 20 Program Managers Awards honored program managers who bring out the best in their advisors. At a dinner sponsored by New York Life/Mainstay Investments in New York last week, the awards program celebrated managers whose advisors perform well above industry benchmarks.

For three days in late June, advisors, industry executives and fund managers descended on Chicago for the 2010 Morningstar Investment Conference. The audience received insight on the flash crash, international investing and the impact of the oil spill in the Gulf of Mexico. Industry bigwigs, including Vanguard's William McNabb, were among the speakers. (See part 2 here.)

SourceMedia's Women Advisors Forum descended on Chicago on June 16. The event offered an opportunity to network with the most successful and influential women financial advisors in the nation, while gaining insight into their career experience and rise to the top.

From June 1 to June 5, advisors affiliated with Royal Alliance came together for NEC 2010 in Orlando, FL. During this educational conference, advisors heard Royal Alliance executives and industry experts speak on a variety of topics from retirement and estate planning to practice management and technology. Attendees also took advantage of valuable networking opportunities with their peers.Below are photo highlights from the event.

More than 200 top financial advisors, planners and RIAs attended the recent Women Advisor Forum in New York City, where attendees learned about some of the best ways to build a book of business and tips on how to gain referrals of high net worth clientele. Sessions included career advice and a powerhouse panel of top investment directors, EVPs, and CEOs speaking about how they overcame career obstacles. (Our next Women Advisor Forum takes place on June 16 in Chicago. Click here to register or find out details about the event.)Below are photo highlights from the New York event.