Investment Advisers Financial Planners And Customer Protection
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Investment Advisers Financial Planners And Customer Protection
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Author : United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance
language : en
Publisher:
Release Date : 1986
Investment Advisers Financial Planners And Customer Protection written by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1986 with Consumer protection categories.
Investment Advisers Financial Planners And Customer Protection
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Author : United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance
language : en
Publisher:
Release Date : 1986
Investment Advisers Financial Planners And Customer Protection written by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1986 with Consumer protection categories.
Consumer Finance
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Author : Alicia Puente Cackley
language : en
Publisher: DIANE Publishing
Release Date : 2011-04
Consumer Finance written by Alicia Puente Cackley and has been published by DIANE Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2011-04 with Reference categories.
Consumers are increasingly turning for help to financial planners (FP) individuals who help clients meet their financial goals by providing assistance with such things as selecting investments and insur. products, and managing tax and estate planning. This report examines: (1) how FP are regulated and overseen at the fed. and state levels; (2) what is known about the effectiveness of this regulation; and (3) the advantages and disadvantages of alternative regulatory approaches. To address these objectives, this report reviewed fed. and state statutes and regulations, analyzed complaint and enforcement activity, and interviewed fed. and state gov't. entities and org. representing financial planners, and consumers. Illus. This is a print on demand report.
Investment Advisers Financial Planners And Customer Protection
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Author : United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance
language : en
Publisher:
Release Date : 1986
Investment Advisers Financial Planners And Customer Protection written by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1986 with Consumer protection categories.
Financial Planners And Investment Advisers
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Author : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Consumer Affairs
language : en
Publisher:
Release Date : 1988
Financial Planners And Investment Advisers written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Consumer Affairs and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1988 with Consumer protection categories.
Ineffective Habits Of Financial Advisors And The Disciplines To Break Them
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Author : Steve Moore
language : en
Publisher: John Wiley & Sons
Release Date : 2010-11-09
Ineffective Habits Of Financial Advisors And The Disciplines To Break Them written by Steve Moore and has been published by John Wiley & Sons this book supported file pdf, txt, epub, kindle and other format this book has been release on 2010-11-09 with Business & Economics categories.
A how to guide to avoiding the mistakes ineffective financial advisors most often make Based on a 15-year consulting program that author Steve Moore has led for financial advisors, Ineffective Habits of Financial Advisors (and the Disciplines to Break Them): A Framework for Avoiding the Mistakes Everyone Else Makes details proven techniques which allow advisors to transform their business into an elite practice: business analysis, strategic vision, exceptional client service, and acquiring high net worth clients. Told through the story of a purely fictional and completely average financial advisor, each chapter begins with an ineffective habit that is then countered with a discipline that improves business results and adds value. The book Details a step-by-step strategy for working through current clients, rather than relying on cold calling to form new relationships Includes anecdotes collected through both personal experience and stories relayed to him by clients and colleagues Provides question and answer segments, examples, and homework assignments Ineffective Habits of Financial Advisors (and the Disciplines to Break Them shows you how to deliver exceptional service while generating higher revenue per client.
Protecting Your Practice
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Author : Katherine Vessenes
language : en
Publisher: John Wiley & Sons
Release Date : 2010-06-10
Protecting Your Practice written by Katherine Vessenes and has been published by John Wiley & Sons this book supported file pdf, txt, epub, kindle and other format this book has been release on 2010-06-10 with Business & Economics categories.
This is the benchmark book for building client relationships, growing a practice, and avoiding litigation--written in association with the world's leading organization for financial services professionals. Audience: Broker-dealers and their home-office personnel, registered reps, accountants, tax advisers, insurance agents and insurance companies, wire houses, fee and commission planners, attorneys, trust officers, estate planners, and development officers in planned-giving departments. As investors gravitate toward no-load mutual funds and do-it-yourself investing through discount brokers, professionals are being squeezed by competition, consumer wariness, and tighter enforcement by the SEC, NASD, and state securities regulators. This book addresses these challenges, helping anyone offering financial advice to be more competitive, build client loyalty, and avoid the liabilites that come with managing someone's money in today's complex investment environment. How to offer better service, comply with key regulations, maintain vital records with a minimum of paperwork, and protect a business from malpractice claims.
The Essential Advisor
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Author : Bill Crager
language : en
Publisher: John Wiley & Sons
Release Date : 2016-05-16
The Essential Advisor written by Bill Crager and has been published by John Wiley & Sons this book supported file pdf, txt, epub, kindle and other format this book has been release on 2016-05-16 with Business & Economics categories.
Leverage the financial services evolution to maximize your firm's value The Essential Advisor presents an insightful handbook for advisors looking to navigate the changing face of financial services. The industry is evolving, consumers are evolving, and many advisors are being left behind as old methods become less and less relevant. This book shows you how to turn this shift into a positive, by positioning your firm to maximize these new opportunities, and deliver the results and experience increasingly expected of financial advisors. You'll learn how to provide the transparency, hands-on interaction, and around-the-clock access today's clients demand, and how to consistently deliver service that robo-advisors cannot duplicate. Emerging technologies do not have to be a threat to your practice—they are tools that represent opportunities to provide greater service to your clients, and smart technology integration will be a hallmark of firms that survive the shift. This guide provides a clear vision of the future of financial services, and an indispensable management framework for maximizing your firm's future value. Advisors are increasingly confused about what clients are seeking, and clients are equally confused about what advisory firms offer that alternatives cannot. This book helps clear the air on both sides by examining the client's perspective of financial services, and helping advisors better communicate their strengths. Articulate the value of your services Leverage new technology to complement your practice Capitalize on opportunities and maximize your firm's value Position your firm to benefit from the changing consumer population Financial advisors can only grow their businesses if clients know what they do, know how to hire them, and can access them affordably. The Essential Advisor shows you to bring your firm into the future successfully.
Success As A Financial Advisor For Dummies
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Author : Ivan M. Illan
language : en
Publisher: John Wiley & Sons
Release Date : 2018-11-13
Success As A Financial Advisor For Dummies written by Ivan M. Illan and has been published by John Wiley & Sons this book supported file pdf, txt, epub, kindle and other format this book has been release on 2018-11-13 with Business & Economics categories.
A must-have reference for financial advisors In step-by-step detail, Success as a Financial Advisor For Dummies covers how a current or would-be financial advisor can maximize their professional success through a series of behaviors, activities, and specific client-centric value propositions. In a time when federal regulators are changing the landscape on the standard of care that financial services clients should expect from their advisors, this book affords professionals insight on how they can be evolving their practices to align with the regulatory and technological trends currently underway. Inside, you’ll find out how a financial advisor can be a true fiduciary, how to compete against the growing field of robo-advisors, and how the passive investing trend is actually all about being an active investor. Additionally, you’ll discover time-tested advice on building and focusing on client relationships, having a top advisor mindset, and much more. Master the seven core competencies Attract and win new business Pick the right clients Benchmark your performance Start your own firm Brimming with practical expert advice, Success as a Financial Advisor For Dummies is a priceless success tool for any wannabe or experienced financial advisor.
Guerrilla Marketing For Financial Advisors
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Author : Jay Conrad Levinson
language : en
Publisher: Trafford Publishing
Release Date : 2003
Guerrilla Marketing For Financial Advisors written by Jay Conrad Levinson and has been published by Trafford Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2003 with Business & Economics categories.
Through the eyes of two Guerrilla Marketers, this book shows you Guerrilla Marketing ideas to help you build your business and make more as a financial advisor than you ever thought possible. Jay Conrad Levinson, author of the highly successful Guerrilla Marketing series of books has teamed up with financial advisor consultant and coach Grant W. Hicks, CIM, FCSI , to uncover all aspects of marketing for financial advisors. This work is a collection of fourteen years of researching and testing the best ideas for financial advisors. Grant's educational website www.financialadvisormarketing.com has additional resources to help any advisor at any level become more successful. This easy to read book will be an abundance of resources advisors need to dramatically change and grow their business. Inside you will find nine chapters including samples and templates to help build your business. The following is a chapter summary that will take the reader through forty business and marketing ideas, principles and examples that have been used successfully and step by step on how to apply them to your business. 1. Build a Better Business and Marketing Plan 2. Getting New Clients from Outside Sources 3. Getting New Clients from Internal Marketing 4. Welcoming New Clients 5. Wowing Clients 6. Mastering Service for All Clients 7. Taking Your Business to the Next Level 8. Marketing Principles for Financial Advisors 9. Guerrilla Marketing Tools and Marketing Action Plan Worksheets If you want to be a successful advisor in your market and improve your client service levels, then Guerilla Marketing For Financial Advisors is your marketing blueprint. It is time for advisors to take action.