Tag: Wealth Management

A survey conducted on behalf of TD Ameritrade found 73% of women are comfortable accumulating less than $1 million in savings before retirement, compared to 63% of men.

Northwestern Mutual Investment Services, LLC, City Securities Corporation, and Fifth Third Securities, Inc., are the latest firms to settle charges with FINRA over the sale of auction-rate securities...

Investment advisers who custody with Charles Schwab can now access a Web site boasting more intuitive tools to manage client accounts.

Advisors Trusted Advisor now offers the Roth 2010 Conversion Package, containing marketing tools, education materials, and a Roth conversion tool.

Another advisory group braves the frontiers of being an independent firm.

A new whitepaper from Wealth2k says advisers should not ignore the Web in their retirement income communication strategies.

The Securities and Exchange Commission (SEC) has encouraged broker/dealer (B/D) bosses to rein in their reps.

If they lost their job, more than a third (34%) of those participating in a recent poll said their rainy day fund would last a week or less.

Three former representatives of Morgan Stanley Smith Barney (MSSB) have left the firm to form Three Bridge Wealth Advisors in Menlo Park, California.

The Phoenix Companies, Inc., introduced a “first-to-die” universal life insurance product that covers two lives under one policy, designed for married couples or business partners.

The savings rate is up, but will it last?

Curian Capital, LLC, announced the launch of the Curian Custom Wealth Platform, a unified managed household (UMH) solution offering investors an aggregated view of their Curian holdings.

Affluent investors are dismal about their short-term financial situation, but many are turning to advisers for help.

While most advisers offer employer benefits retirement planning services, only a quarter of clients use those services, according to research from Cerulli Associates.

While moving to independence is easier for advisers than ever before, it’s still not exactly easy.

Days after Bank of America (BofA) announced the appointment of Sallie Krawcheck to run global wealth and investment management, Daniel Sontag said he will leave BofA, according to...

John Hancock Funds said it designed a section of its Web site to help advisers assist clients who are facing job changes or losses.

Research from The Principal Financial Group found that American business owners lack a long-term plan to exit or transition their business.

An Albuquerque, New Mexico-based firm has launched an “Individual 401k (i401k)” for small-business owners looking for retirement plan options.  

When asked to rank their clients’ greatest concerns as of the second half of 2009, advisers overwhelmingly (70%) chose “greater chance they’ll outlive their money.”