This week in advisor moves: LPL and Commonwealth go back to the Osaic well for advisor teams; Raymond James pulls from Morgan Stanley; and Dynasty Financial Partners and Gries Financial Partners shake things up in the C-suite. #recruiting #wealthmanagement #advisors
Financial Planning
Online Audio and Video Media
New York, NY 47,812 followers
The leading resource of news, data and analysis for the wealth management industry.
About us
Financial Planning is the leading resource for news, analysis, insights and data for financial advisors across the independent, wirehouse and bank channels. We deliver the essential information, strategies and tools planners need to build and grow thriving practices, position their firms against competitive threats, meet regulatory requirements and best serve their clients.
- Website
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http://www.financial-planning.com
External link for Financial Planning
- Industry
- Online Audio and Video Media
- Company size
- 201-500 employees
- Headquarters
- New York, NY
- Type
- Privately Held
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Primary
1 State St
New York, NY 10004, US
Employees at Financial Planning
Updates
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An incoming client could turn into a lifetime customer relationship if their new financial advisor or tax professional finds savings on their payments to Uncle Sam during the transition. Here’s a guide to examining incoming clients’ portfolios for tax traps, considering new strategies and deploying technology to help with the entire process, with insights from Rupa Pereira CFP®,EA, CSLP, of FWJ Planning, Jack Oujo CPA CFP MS Tax of Oujo Wealth Strategies and Anton Honikman of MyVest. #tax #portfoliomanagement #financialplanning
How to unlock tax savings in incoming client portfolios
financial-planning.com
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When Merrill Lynch wealth management clients signed up for a complex options-trading strategy, they said they only wanted so much exposure and no more. But Merrill and its partner, Harvest Volatility Management, nonetheless let their exposure levels exceed those limits, according to regulators. Now they owe the SEC more than $9 million. #financialplanning #investing #advisors
'Iron condor' options strategy costs Merrill $3.8M SEC penalty
financial-planning.com
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Gennadiy Todd, CFP® of Hunt Valley Wealth has spent time promoting the industry to college students and volunteering with next-gen advisor organizations. He also does pro bono work to provide planning advice for women through the Savvy Ladies program. Join us in honoring him as an FP 2024 Rising Star for his efforts to make a difference in the wealth management industry. https://bit.ly/4gxTXy5 #financialplanning #wealthmanagement #financialadvisors
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FINRA officials said they are working with foreign regulators and the U.S. Securities and Exchange Commission to create a roadmap for firms using certain AI tools, like language translation services, with clients. That was a part of a much larger discussion during FINRA’s advertising regulation conference in Washington, D.C. that covered how firms are using large language models, AI ghostwriters, social media influencers and more. #Technology #wealthmanagement #AI #regulation
FINRA officials weigh firms' use of AI, finfluencers
financial-planning.com
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Getting a new client in the door is one thing — turning them into a client for life is another altogether. Experts share the tax savings tips that can aid that conversion. Also in today’s newsletter: From scaling up from a boutique to a regional to a national RIA, Casey Jorgensen, CFP®, WFAA, RCC™ of Dynasty Financial Partners runs down the key considerations a CEO should have in mind when it comes to strategizing for growth. Plus: Andree Mohr, president of Integrated Partners, discusses her impressive journey in financial services and the role of professional accountability in her ascent. #taxplanning #careergrowth #financialadvisors
Win clients for life with tax savings; what to think about before scaling your RIA; Andree Mohr on accountability
Financial Planning on LinkedIn
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If you want to know how to make a difference in wealth management, we have 7 role models to show you. #wealthmanagement #financialadvisors #financialplanning
The inspiration of the next generation
Financial Planning on LinkedIn
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As co-founder of wealth.com, Danny Lohrfink has made it easier for financial advisors to bring estate planning to their clients. His work makes him an FP 2024 Rising Star. Join us in congratulating Danny. https://bit.ly/4gxTXy5 #financialplanning #wealthmanagement #financialadvisors #estateplanning
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The latest installment of The Ladder, a series by Financial Planning that looks at how executives and leaders in the wealth management industry made it to where they are today, and what you can learn from them, highlights Andree Mohr, who has an impressive backstory. In under 15 years, Mohr went from marketing coordinator at a financial services firm to president of Integrated Partners, an RIA with nearly $20 billion in AUM. But it was a mistake she made early on that helped spark personal — and career — growth. #theladder #personalgrowth #financialplanning
The Ladder: How owning an error led to career growth for Andree Mohr
financial-planning.com
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⏰ Time is running out to register! ⏰ Financial Planning's ADVISE AI conference is less than two weeks away! This is your chance to engage in a unique, interactive and educational experience that will transform your approach to AI in the wealth management sector. Don't miss this opportunity to learn what new AI tools are in the market to help you expand your business and grow your client base. Register today: https://bit.ly/4eikAWp #ADVISEAI #wealthmanagement #advisors