Nerd's Eye View
APRIL 7, 2023
Also in industry news this week: FINRA has announced that, on the heels of its first enforcement action under the Reg BI rules, it will be ramping up its examinations of broker-dealers for potential violations (after a long period of relative leniency when firms were still determining how best to comply with the rule) A recent study from Ameriprise (..)
Nerd's Eye View
JANUARY 22, 2024
Fortunately, financial advicers can bridge these communication gaps in a few ways, starting with their discovery process. If clients and advisors approach issues with a fundamentally different psychology, then an advisor's 'comprehensive' advice may not address the client's actual problems.
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CFO News Room
NOVEMBER 14, 2022
She is the co-founder and President of Journey Strategic Wealth, a Registered Investment Adviser built for advisors seeking independence and full-fledged practice management support. She currently runs a weekly YouTube series called “Practice Management with Penny.”. How would you prioritize them?
CFO News Room
DECEMBER 27, 2022
” So I’m wondering, how do you roll this out and communicate it to existing clients that weren’t getting the service, where you want to say now, “Hey, can we do this for you,” in a way that doesn’t undermine the relationship that was already there? We need to prioritize our time.
CFO News Room
DECEMBER 20, 2022
” It felt, again, kind of that little bit lower pressure of, “Okay, now I’m comfortable with having some face-to-face communication and helping somebody make decisions to enroll in their 401(k) plan.” And so, it’s essentially a six-person team, then, like founder, practice manager, CSA, two paraplanners, and you?
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