Sentences with phrase «investment advice to clients»

Provided ample, amiable investment advice to clients.

Using technology - based platforms, a new generation of firms is now offering retirement investment advice to clients all across the income spectrum for very modest fees.

Disclaimer: As an Investment Advisor Representative, I act as a fiduciary and give retirement planning and investment advice to my clients in exchange for a fee.

Disclaimer: As an Investment Advisor Representative, I act as a fiduciary and give retirement planning and investment advice to my clients in exchange for a fee.

Not exact matches

One common piece of advice to potential financial advisor clients is that they ask their potential money manager about their «investment philosophy.»

«These organizations can provide advice to clients at a very low price point, and they can serve a portion of the population that's been really under served, people who haven't had access to investment advice,» said Robert Stammers, director of investor education at the CFA Institute.

The model itself isn't so hard to understand: robo - advisers rely on automated software to create investment portfolios and give clients advice on investment options.

The bank also warned these entities against offering cryptocurrency - related investment or trading advice to clients, and banned them from allowing customers to purchase digital assets with credit cards.

Wealth Management provides integrated advice and investment solutions to meet the needs of institutional, retail and high net worth clients.

This week, the DOL delayed the effective date of its Fiduciary Rule — which would define all retirement plan financial advisors as ERISA fiduciaries, effectively banning conflicted 401 (k) investment advice that puts advisor profit ahead of client interests — by 60 days from April 10, 2017 to June 9, 2017.

None of our clients use a stock broker and insurance agent — which means they aren't affected by the rule at all unless their plan's financial advisor gives rollover recommendations in addition to investment advice.

Tech startup entrepreneurs should seek professional legal advice when setting up or making changes to their capitalization structure, choosing legal counsel with experience in setting up early - stage ventures and working on investment rounds for their clients.

Sankaran's teams are further responsible for two major technology programs at the company: Digital Guidance, which utilizes technology to enhance clients» access to investment advice, and ongoing innovation for the company's award - winning trading platform, thinkorswim.

Show clients that, despite the ambiguity surrounding the Duty of Care, you understand how to take care of them properly when it comes to investment advice.

One attendee asked Hauser if financial planning crosses the line into advice when an advisor tells a client to roll over assets but doesn't recommend a specific investment.

After working with the Federal Government, Max began his career as an Investment Advisor providing wealth management advice to entrepreneurs, established families and institutional clients.

The now - endangered fiduciary rule is based on a simple — and seemingly unarguable — principle: that in giving advice to clients with retirement funds, stockbrokers, registered investment advisers and insurance agents must act in the best interests of their clients... It simply doesn't seem like a good business practice for Wall Street to tell its client - investors, «We put your interests second, after our firm's, but it's close.»

She is responsible for developing equity market insights and actionable investment advice, as well as for representing BlackRock's market views to clients.

Our Strategic Advisory Services group provides investment advice to institutions, endowments, personal foundations and other clients that require additional manager diversification or asset class exposure.

Because our dedicated team of investment bankers specializes exclusively by sector, we're highly experienced when it comes to giving our clients targeted, insightful advice and a razor sharp focus they won't find anywhere else.

Said Barbara Roper, director of investor protection of the Consumer Federation of America: «By closing loopholes in the current regulations and subjecting all retirement investment advice to a fiduciary duty to act solely in the best interests of the client, a well - crafted DOL rule has the potential to save millions of Americans billions of dollars each year.

His expertise includes providing financial planning and investment advice to individual clients, 401 (k) plan sponsors, foundations and endowments.

Advisors need to educate clients — but not dumb down their advice — when it comes to the complex world of these investment vehicles.

Under the new DOL rule, when a registered investment advisor («RIA») with an existing plan client offers rollover advice to the plan's participants, it would be customary for the RIA to earn a higher rate of compensation from the rollovers.

Investing can be risky, and we encourage our clients to seek the advice of their own Investment professional before making any trading decisions.

He provides wealth and legacy management advice to Manchester clients is a member of the Investment Committee and the Executive Team.

«It has become increasingly common over the past few decades for insurance producers, like broker - dealers, to recast themselves as financial advisors or retirement planners in order to attract clients seeking objective, professional advice about their retirement and other investments,» the CFA says.

It's becoming easier and easier for clients to identify good sources of investment advice and research.

Clients are not only going to demand low fees, they are going to demand investment advice based on research that is:

The Client acknowledges and understands that the Company will not provide the Client with any advice relating to CFDs, the underlying assets for CFDs and (if applicable) the exchanges where the underlying assets are traded, or make investment recommendations including occasions where the Client shall request such advice and / or recommendation.

I strive to provide solid investment advice, high levels of service and the confidentiality clients have grown to expect.

As a fee - only advisor, our advice and recommendations are tailored to our clients» investment goals, desired return objectives, risk tolerance, time horizon, cash requirements, and tax situation.

Genesis Centre clients can ask questions, seek advice and learn about potential programs and investment options available to them and their start - ups.

At Canadian Western Financial (CWF), we have been providing objective advice and personalized investment recommendations since 1999, to help clients like you achieve your investment goals.

However, I quickly learned that my real function was to translate in terms that a client could understand the often obscure and overly technical advice they had received from their legal, tax and investment advisers.

Since taking office, the Department of Labor has delayed the fiduciary rule, which would have required financial advisers to always act in the interest of their clients when giving retirement investment advice.

With over 20 years of diverse experience in the investment management field, James has provided consultative advice and guidance to individual, investment advisory and institutional clients.

Karey provides investment advice to individual investors and discretionary portfolio management for Private Clients.

The purpose of the study is to show the size and nature of the UK's advice sector two years after the Retail Distribution Review (RDR) was implemented and commission - based sales were banned.The RDR had several aims — to improve the investment management service to clients, to increase the standards of professionalism for advisers, and to clarify the way advisers are paid for their services.

The Company's Investment Banking segment includes its Advisory services, through which Evercore provides advice to clients on mergers, acquisitions, divestitures and other strategic corporate transactions, with a particular focus on advising multinational corporations and private equity firms on various transactions.

In March 2017, we introduced MyAdvisor, an online advice platform that connects clients to an advisor using live video and enables real - time collaboration on a dynamic «dashboard» reflecting the client's savings and investment goals.

However, beginning on April 10, «retirement clients won't be able to add to legacy assets, or have the benefit of our investment advice about new purchases in their IRA brokerage accounts,» Merrill explained.

While NAFA and others in the industry «perpetually claim that they serve their clients» best interests, even NAFA concedes it is currently «impossible» for the annuity industry to create an oversight mechanism that ensures investment advice is in retirement savers» best interest.

With $ 1.4 trillion in client assets as of April 11, 2014, Wells Fargo Advisors provides investment advice and guidance to clients through 15,146 full - service financial advisors and 3,350 licensed bankers.

About Blog Our mission at WealthCo Financial Advisory Services Inc. is simply to provide personalized investment and estate planning advice that minimizes our clients» financial concerns and maximizes their security.

While certain holdings identified in the Tool's output report may be managed by Franklin Templeton, Franklin Templeton is not providing individualized investment advice or investment recommendations to your clients.

Firstly I do not have a crystal ball nor do I give investment advice other than my Commodity Trading advisor client who have signed and agreed to all kinds of disclosures and are aware of -LSB-...]

Wrap Program Sponsor: A person or entity is a sponsor of a wrap fee program if he receives compensation for sponsoring, organizing, or administering the wrap fee program, selecting investment advisers in the program, or for giving advice to clients about selecting advisers in the program.

Orange, CA About Blog KIS Financial Planning, LLC is a boutique fee - only financial planning practice that provides financial advice and investment management services.We focuses on creating effective solutions to meet the various financial and investment needs of our clients.

Investment advice is only provided to investors who become clients pursuant to an investment management Investment advice is only provided to investors who become clients pursuant to an investment management investment management agreement.