Posts tagged adviser

Take the easy road for your future as an independent financial adviser

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1 year ago
by admin in

one of the few positive effects of the explosion imminent retirement rolls than 77 million baby boomers approach the age of 65 can be in the employment prospects of personal financial advisors to find. Only a few vintages have adequate plans to extend their lives beyond their working years and urgently need the support of personal financial advisors developed.

This is great news for those seeking a lucrative new career opportunity.

The U.S. Bureau of Labor Statistics, 2008-2009 Employment Outlook, said that “personal financial advisors are projected at 41%, which is much faster than More >

financial adviser / analyst question?

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1 year ago
by admin in

Question : financial adviser / analyst question? good day everybody =)

i haven’t finished college yet and i’m about to start working as a financial planner i’m quite outgoing with ppl and i’ll be trained in sales so i can do my work more effectively and so on… i have understood that in order to meet the CERTIFIED FINANCIAL PLANNER approvals you must perform 3 years of continous work plus w/e other requirements they demand you.. which i’ve made an intensive over the internet

MY QUESTION IS…..let’s say i already have my Financial Planner Certificate…. if after that i also want to be a FINANCIAL More >

Walter Wild is investment adviser by the application of knowledge, financial and emotional

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1 year ago
by admin in

Waimanalo, HI (Vocus) 2 October 2010

psychologist, financial advisor and author Walter F. Wild gives readers advice on savings and investment products through his latest book Winning investment decisions. The book offers a perspective on the psychological and financial investment strategy and market behavior.

Dr. Wild

offers readers useful information, especially in todayâ? The economy, thanks to his experience in the investment firms. Wilda book ????, win investment decisions, is a revolutionary publication that offers readers a unique perspective on the various opportunities and

More >

Can a Registered Investment Adviser (RIA) in good faith receive compensation on insurance sales & loaded funds

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1 year ago
by admin in

Question : Can a Registered Investment Adviser (RIA) in good faith receive compensation on insurance sales & loaded funds How might an RIA, who must act with fiduciary obligation, rationalize compensation for insurance or annuity sales (those products sold as investment vehicles such a VUL policy), when there is compensation for making the sale. Even if the product is objectively in the best interest of the client, doesn’t the commission structure, which has the appearance of impropriety, create a conflict of interest for the RIA?

Also, if the RIA is recommending funds that carry 12B-1 fees, More >

How do i become a registered investment adviser?

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1 year ago
by admin in

Question : How do i become a registered investment adviser?

registered investment advisor

Best answer:

Answer by jeff410Contact your state securities department. They can tell you what exams you need to take in your state. And contact FINRA about taking the exams and forms you need to file. After you become registered with your state you are going to need a contract and fill out an ADV form.

Where can I find a financial adviser whose main business is not selling insurance?

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1 year ago
by admin in

Question : Where can I find a financial adviser whose main business is not selling insurance? I am 64 and own my own small business. How do I find someone who is paid by the hour and has a deep and broad understanding of estate planning, when to start taking Social Security, etc, etc. I have heard that most “financial advisors” make money by selling insurance policies. I have nothing against insurancy policies but I want someone whose income is dependent on his real skills. Is there such a thing as a National Certified Financial Advisor association? certified financial advisor

Best More >

What are the steps to becoming a Registered Investment Adviser in California?

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1 year ago
by admin in

Question : What are the steps to becoming a Registered Investment Adviser in California? I have registered to take my Series 65 exam in about a month. What else is involved in this process? do I have to take care of anything before i take the 65? registered investment advisor

Best answer:

Answer by jeff410Contact the California securities authority. They can tell you all you need to do to become registered there.

IRS proposes new audit guidelines for colleges and universities.: An article from: The Tax Adviser

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1 year ago
by admin in

This digital document is an article from The Tax Adviser, published by American Institute of CPA’s on April 1, 1993. The length of the article is 968 words. The page length shown above is based on a typical 300-word page. The article is delivered in HTML format and is available in your Amazon.com Digital Locker immediately after purchase. You can view it with any web browser.From the supplier: The IRS has established new guidelines for audits of universities and colleges in announcement 93-2. Under these new guidelines, agents will examine the records of all activities including financial More >

Exam team can only obtain third-party tax information possessed by other IRS sources on a “need to know” basis.(IRS examination team): An article from: The Tax Adviser

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1 year ago
by admin in

This digital document is an article from The Tax Adviser, published by American Institute of CPA’s on July 1, 2000. The length of the article is 869 words. The page length shown above is based on a typical 300-word page. The article is delivered in HTML format and is available in your Amazon.com Digital Locker immediately after purchase. You can view it with any web browser.Citation DetailsTitle: Exam team can only obtain third-party tax information possessed by other IRS sources on a “need to know” basis.(IRS examination team)Author: Kenneth S. SavellPublication: The Tax Adviser More >

Investment Stocks Tips : Stock Broker Vs. Financial Adviser

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1 year ago
by admin in

investment brokers

There is a difference between stockbrokers and financial advisers in that stockbrokers actually buy and sell stock for people and financial planners help the investor decide in what to invest. Financial advisers have fiduciary responsibility on helping their clients at a higher level and a single trade since they are helping them with their entire financial future as explained by anexperienced stockbroker in this free instructional video on investments and stocks. Expert: Chris Markowski Contact: www.watchdogonwallstreet.com Bio: Christopher Markowski is the More >

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