Nerd's Eye View

JANUARY 12, 2024

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that the Securities and Exchange Commission this week authorized 11 Spot Bitcoin Exchange-Traded Funds (ETFs), which could provide financial advisors and their clients with a convenient way to invest in the cryptocurrency without (..)

Financial Planner 246

Financial Planner Financial Advisor Commission Budgeting 246

Nerd's Eye View

SEPTEMBER 1, 2023

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that the Massachusetts Supreme Judicial Court ruled that the state's fiduciary rule for broker-dealers can stand, potentially opening the door for other states to impose similar standards that exceed the requirements of the Securities (..)

Financial Planner 246

Financial Planner Strategic Planning Retirement Planning Retirement 246

Nerd's Eye View

MAY 10, 2024

billion (thanks to expected reductions in commissions and the embedded costs in these annuities). could save retirement plan participants $55 billion over the next 10 years (due to an expectation of more low-cost fees being offered in plans) and those rolling over workplace plans into IRAs to purchase annuities another $32.5

Financial Planner 246

Financial Planner Retirement Planning Retirement Valuation 246

Nerd's Eye View

AUGUST 25, 2022

Historically, the career path for newer financial advisors has followed a commission-based model that was focused on sales and business development first and learning the technical aspects of financial planning along the way.

Financial Planning 244

Financial Planning Clients Planning Commission 244

Nerd's Eye View

AUGUST 25, 2022

Historically, the career path for newer financial advisors has followed a commission-based model that was focused on sales and business development first and learning the technical aspects of financial planning along the way.

Financial Planning 242

Financial Planning Clients Planning Commission 242

Nerd's Eye View

JULY 26, 2022

In this episode, we talk in-depth about how after working for years in the financial industry, Amy realized there was a missed opportunity in working with career-driven Gen X women like her and decided to focus on serving that type of clientele she knew so well, how the initial fear of launching a firm on her own initially led Amy to partner with another (..)

Financial Planner 246

Financial Planner Management Planning Financial Advisor 246

Nerd's Eye View

JULY 12, 2024

Also in industry news this week: 2 House committees this week advanced legislation that would halt implementation of the Department of Labor's new Retirement Security Rule, which, combined with ongoing lawsuits, threaten to derail the regulation either before or soon after it becomes effective in late September A Federal judge has put the future of (..)

Financial Planner 189

Financial Planner Tax Planning Clients Accounting 189

MarketWatch

JUNE 22, 2023

The Securities and Exchange Commission on Thursday said it’s requiring JPMorgan Chase & Co. JPM to pay a $4 million penalty for allegedly violating rules for broker dealers to preserve all communications for at least three years. The SEC said JPMorgan deleted approximately 47 million communications between Jan.

Electronics 40

Electronics Communication Commission Banking 40

MarketWatch

MARCH 2, 2023

Zoom Video Communications Inc. ZM disclosed in a Thursday filing with the Securities and Exchange Commission that it has fired Greg Tomb, who served as the company’s president. The “termination without cause” is effective Friday.

Commission 75

Commission Communication Sales Clients 75

Financial Symmetry

FEBRUARY 20, 2025

companies from the IT, consumer discretionary, and communication sectors: Alphabet, Amazon, Apple, Meta, Microsoft, NVIDIA and Tesla. Source: Avantis Investors is an investment advisor registered with the Securities and Exchange Commission. Magnificent 7 : Refers to seven, large U.S. MSCI EAFE Index : Designed to measure non-U.S.

Marketing 64

Marketing Marketing Valuation Commission 64

Advisor Perspectives

SEPTEMBER 25, 2023

A group of high-frequency traders, market makers and service providers calling themselves the Shortwave Modernization Coalition has asked the Federal Communications Commission for access to the shortwave band of the radio spectrum, seeking to shave crucial milliseconds off the transmission of data between major financial sectors.

Commission 52

Commission Communication Marketing Marketing 52

The Big Picture

SEPTEMBER 7, 2022

So I tend to view computer coding not that dissimilar to communicating in a foreign language. A lot of times you’re learning your French, Spanish to communicate with someone in a different country. When you’re learning computer coding, you’re just learning how to communicate with a machine.

Communication 306

Communication Marketing Marketing Engineering 306

Million Dollar Round Table (MDRT)

NOVEMBER 16, 2023

Some advisors call this “commission breath.” You’re too attached to the outcome When you desperately need a sale, you send out desperate and needy energy that prospects will almost always subconsciously pick up on. Something will feel off for prospects and they won’t agree to work with you.

Sales 105

Sales Commission Financial Advisor Insurance 105

Clever Girl Finance

OCTOBER 16, 2023

Poor communication and leadership Effective communication and strong leadership are vital parts of a healthy workplace. In toxic environments, however, communication is often lacking or ineffective. And although you can practice enjoying the life you have outside of work, it may still feel overwhelming.

Medical 98

Medical Communication Commission Budgeting 98

MainStreet Financial Planning

FEBRUARY 1, 2024

Importantly, we do not accept sales commissions or any compensation beyond what is directly agreed upon with our clients. I say this with the most humility one can communicate in a brief article that our entire team at MainStreet loves what we do, and we are here to guide you every step of the way.

Financial Advice 98

Financial Advice Planning Fee Only Financial Planning 98

Midstream Marketing

DECEMBER 10, 2024

Including video marketing in your plan can improve communication with clients. By developing a strong unique value proposition and changing how you communicate and adjusting your services to fit their needs, you will create stronger bonds and gain their trust. They have unique needs and ways of communication.

Financial Advisor 52

Financial Advisor Marketing Marketing Clients 52

Investing Caffeine

MARCH 25, 2025

Finished her PhD at The London School of Medicine (Barts) Practiced law at the Covington & Burling law firm representing the television broadcasting industry before the Federal Communications Commission (FCC). Hired by NASA to seek approval from the FCC for NASA systems used to track and relay satellite data.

Investing 59

Investing Investments Fiduciary Duty Healthcare 59

Investment Writing

MAY 21, 2024

Disclosure: If you click on an Amazon link in this post and then buy something, I will receive a small commission. I hope these steps help your clients—and maybe even you—declutter and create a legacy. I provide links to books only when I believe they have value for my readers.

Clients 111

Clients Commission Financial Advisor Sales 111

MarketWatch

APRIL 18, 2023

Robo-adviser investment firm Betterment LLC agreed late Tuesday to pay a $9 million penalty to settle charges by the Securities and Exchange Commission that it misled customers about its automated tax loss harvesting (TLH) service. The penalty will be disbursed to affected customers by Betterment, the SEC said.

Commission 52

Commission Taxes Communication Clients 52

Good Financial Cents

DECEMBER 29, 2022

Where to Get Started: Many online brokers offer real-time fractional share investing without charging commissions. Service Company Dividend Yield Utilities Duke Energy 4% Communications AT&T 5.68% Groceries Kroger 1.44% Gas Exxon Mobil 4.01% Internet Comcast 2.3% 2: Build a Micro Real Estate Portfolio. Risk level: Medium.

Investing 119

Investing Investments Accounting Commission 119

MarketWatch

MARCH 6, 2023

Affected employees will have the option of remaining and communicating with their teams until the end of the week, the CEOs said. “This is different to a financially-driven reduction, where you would look to make ‘broad-based cuts’ – for example, a 10% cut equally distributed across every org within the company,” they wrote.

Recruitment 52

Recruitment Planning Commission Distribution 52

BlueMind

JULY 15, 2022

For example, the Securities and Exchange Commission (SEC) in the United States or The Financial Consumer Agency of Canada (FCAC) in Canada. Although the purpose is simple: to protect investors, customers, the economy, and society from financial crimes but on the other hand it increased compliance challenges for financial advisors.

Compliance 98

Compliance Financial Advisor Certified Financial Planner Clients 98

Good Financial Cents

JANUARY 18, 2023

To be successful in the role, you must possess strong analytical and communication skills. While their primary function is to market and research for sales leads, agents can expect a decent salary and additional commissions. And most agents receive commissions on top of their base pay rate, making the career path incredibly rewarding.

Insurance 89

Insurance Consulting Commission Management 89

MarketWatch

JUNE 20, 2023

The Biden administration on Tuesday rolled out a fresh effort to limit so-called junk fees, as the Federal Communications Commission proposed a new rule that would require cable and satellite TV providers to provide upfront, all-in prices.

Commission 40

Commission Communication Marketing Marketing 40

MarketWatch

MARCH 16, 2023

TEL disclosed Thursday that its board of directors has approved further restructuring efforts in a bid to contain costs in the sensor company’s transportation solutions, industrial solutions and communications solutions segments.

Transportation 40

Transportation Commission Communication Marketing 40

Sara Grillo

JULY 10, 2023

He asked for help and found a support community Right now Thomas is a fee-only fiduciary financial advisor. But when he started out, he was working for a broker-dealer firm that charged commissions. This article says it all: the first line in any marketing communication means everything. The mind thrives on novelty.

Financial Advisor 72

Financial Advisor Media Communication Fee Only 72

Trade Brains

DECEMBER 14, 2023

The Company earns most of its revenue from the Financial Services and insurance industries (29.8%), followed by Retail (14.5%) and Communication (12.3%). The Bank earns 64% from Interest it charges on advances, 18% from its other investments & 14% from Commission or brokerage. India and the rest of the world bring in 9.9%

Consulting 113

Consulting Banking Insurance Retail 113

Trade Brains

APRIL 30, 2024

Ketan Parekh was a strong believer in the ICE sector – Information, Communication, and Entertainment and that was the time during 1999 and 2000 when the dot-com boom had just started. He misused such exchange and also tied up with many other brokers to trade on his behalf and gave the commission.

Marketing 105

Marketing Marketing Banking Management 105

Investment Writing

NOVEMBER 8, 2023

Writing Making Numbers Count: The Art and Science of Communicating Numbers by Chip Health and Karla Starr. This book has great examples of effective communication with numbers. Here are some of the most interesting, helpful books that I read during 2023. I hope you’ll find some titles that interest you.

Communication 52

Communication Numbers Commission Food 52

International College of Financial Planning

OCTOBER 5, 2021

Not all clients are great communicators and you must put your curiosity to good use and understand their goals. The same goes for a Financial Advisor where must set the priorities right.Your interests, professional perks, performance incentives, and commissions are secondary to the interests of the clients. Communication Skills.

Financial Advisor 52

Financial Advisor Communication Clients Retirement Planning 52

International College of Financial Planning

SEPTEMBER 3, 2021

They may charge for their services either on a commission basis or hourly rates. However, our advice is to trust financial planners who either take a flat annual fee or charge per hour for managing your portfolio instead of charging a commission on every stock they buy or sell. How to Compensate Financial Advisors?

Financial Planner 52

Financial Planner Financial Advisor Certified Financial Planner Commission 52

Trade Brains

OCTOBER 1, 2023

Under the defence segment, the company manufactures Radar and Fire Control Systems, Weapon Systems, Communication, Electronic Warfare Systems, Network network-centric systems (C4I), Avionics, Anti-Submarine Warfare Systems and sonars, Electro-Optics, Tank Electronics, Gun Upgrades, and Strategic Components.

Electronics 119

Electronics Manufacturing Engineering Medical 119

Harness Wealth

SEPTEMBER 15, 2023

Proper client onboarding involves a meticulous gathering of all necessary documentation and information from your new clients, as well as spending time fully understanding their needs and any upcoming life events, in order to establish a robust foundation of trust and open communication. Why is Client Onboarding So Important?

Accounting 59

Accounting Clients Taxes Communication 59

SEI

AUGUST 17, 2022

This release contains forward-looking statements within the meaning or the rules and regulations of the Securities and Exchange Commission. 31, 2021, filed with the Securities and Exchange Commission. Head of Global Communications. As of June 30, 2022, SEI manages, advises, or administers approximately $1.3 trillion in assets.

Financial Services 52

Financial Services Compliance Commission Assets 52

Nationwide Financial

NOVEMBER 29, 2022

Succession planning is much more than just the act of selling your practice; there are many items to consider when planning the successful transition of your firm, like finding the right successor, client/relationship communications, receiving the proper value, and reducing taxes on the sale of your firm. Breaking the News to Clients.

Financial Advisor 52

Financial Advisor Planning Valuation Communication 52

Good Financial Cents

DECEMBER 10, 2022

With Robinhood, you can build a balanced portfolio and trade stocks, ETFs and options as frequently as you want, commission-free. Skills Needed: Excellent voice and communication skills, an eye for relevant content, basic knowledge of video equipment. Ad Invest as little or as much as you want with a Robinhood portfolio.

Risk Tolerance 112

Risk Tolerance Media Investing Investments 112

Trade Brains

JANUARY 26, 2024

The Company generates revenue from monthly commissions, transaction-based commissions, and Registration Fees. Weaknesses of Company Dependance on Commission: The Company predominantly earns from the fee & commission it charges its consumers. Both Companies contribute to 21% and 61% of BLS’ revenue respectively.

Government 59

Government Commission Banking Education 59