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FINTECH SEP 27, 2009
First Allied to offer Pershing platform to attract dually registered advisers

In an effort to attract stockbrokers who are migrating to a fee-based advisory practice, First Allied Securities Inc., this week will introduce a “hybrid” operational platform that has been engineered by Pershing LLC.

PRACTICE MANAGEMENT SEP 27, 2009
Risks of Reg D deals worry state regulators

FINTECH SEP 25, 2009
A smartphone app for the smart adviser: Texas Instruments hops on the iPhone bandwagon

I'm willing to bet that a number of advisers have a venerable Texas Instruments Inc.<a href="//education.ti.com/educationportal/sites/US/productDetail/us_baii_plus.html&quot;" target="&#8221;_blank&#8221;" rel="noopener noreferrer">BA II</a> calculator either sitting on their desk, or in a nearby drawer. I'd also be willing to bet that most of you are too self-conscious to be seen in public with it.

FINTECH SEP 23, 2009
Hunting for hybrids: First Allied to offer platform to attract dually registered advisers

In an effort to attract stockbrokers migrating to a fee-based advisory practice, First Allied Securities Inc., next week will introduce a &#8220;hybrid&#8221; operational platform that has been engineered by Pershing LLC.

PRACTICE MANAGEMENT SEP 21, 2009
How to uncover clients' needs — and new assets — during client reviews

Streamlined business practices help you become more efficient, and last week we explained how segmenting <a href=http://www,investmentnews.com/article/20090831/REG/908319974>your client base</a> can lead to a more efficient process for conducting client reviews this fall. The tiering method we outlined has worked well for many advisers. Simply following last week's steps can translate into completing your client segmentation in about two hours.

FINTECH SEP 18, 2009
StreetSmart CRM to offer conference calling feature

StreetSmart CRM to offer conference calling feature I'll soon be taking a fresh look at <a href=&quot;http://www.investmentnews.com/apps/pbcs.dll/section?category=INTechnologyNews03&amp;IssueDate=20080415&quot; target=&#8221;_blank&#8221;>customer relationship management</a> software and software-as-a-service providers, and one that a few advisers have asked me about is StreetSmart from InfoStreet Inc.

FINTECH SEP 17, 2009
TD Ameritrade's new online tool reaches out to breakaways

TD Ameritrade Institutional today will take the wraps off a new web-based tool designed to help potential breakaway brokers decide whether to join or start a registered investment advisory firm.

PRACTICE MANAGEMENT SEP 13, 2009
Dementia poses threat to aging boomers' portfolios

A startling number of older adults either lack the cognitive abilities to manage their finances or delegate that responsibility to others &#8212; a finding that could have implications for plan executives and other fiduciaries as a wave of wealthy Americans approach retirement.

WOMEN ADVISOR COMMUNITY SEP 13, 2009
Native American tribe buys a broker-dealer

In what may be a first, a Native American tribe is buying a broker-dealer and money manager, with a plan to win business by using its status as a minority-owned firm to appeal to Native American investors.

FINTECH SEP 13, 2009
Evaluating three find-an-adviser websites

Before deciding where to wine and dine your significant other, chances are you will take a gander at a restaurant review or two online.

FINTECH SEP 11, 2009
Tamarac announces new Advisor 9 and outsourced services

To date, Tamarac Inc. has been known for its re-balancing and trade order generation platform, but that is about to change. The company is simultaneously making two announcements.

FINTECH SEP 10, 2009
Junxure to unveil two new versions of its software

Version 8 of Junxure <a href="//www.investmentnews.com/apps/pbcs.dll/article?AID=/20080415/REG/147477097/1102/INTechnologyNews03&quot;" target="&#8221;_blank&#8221;" rel="noopener noreferrer">customer relationship management</a> software and Junxure Mobile, a separate product that will provide advisers on-the-go access to their CRM database, are slated to be released soon.

WOMEN ADVISOR COMMUNITY SEP 09, 2009
An industry first? American Indian tribe buys a broker-dealer

In what may be a first, a tribe of Native Americans is buying a broker-dealer and money manager, with a plan to win business by using its status as a minority-owned firm to appeal to Native American investors.

FINTECH SEP 06, 2009
Schwab unveils upgrade to adviser site

Schwab Institutional last week unveiled a significant redesign of its website for financial advisers.

PRACTICE MANAGEMENT SEP 06, 2009
Using Roth IRAs to build your business

Next year provides financial advisers with a unique opportunity to help wealthy clients and prospects.

PRACTICE MANAGEMENT SEP 06, 2009
SEC's Schapiro issues warning to broker-dealer executives

Securities and Exchange Commission Chairman Mary L. Schapiro last week issued an open letter to broker-dealer chief executives, warning them to make sure supervisors are vigilant about conflicts of interests as they recruit registered representatives.

PRACTICE MANAGEMENT SEP 04, 2009
Tiger Woods' wife not the first to consider a mulligan on pre-nup

As Tiger Woods publicly acknowledged his &#8220;transgressions&#8221; earlier this week, his wife was looking into changing the couple's prenuptial agreement in order to collect more of the pro golfer's millions, according to published reports.

FINTECH SEP 03, 2009
Making the grade: Investors can rate advisers on new website

Clients will be able to rate their financial advisers using a website launched this week.

ALTERNATIVES SEP 03, 2009
Got alts? Rydex rolls out alternative investment site for advisers

Rydex SGI has taken its alternative investment message to a new medium with the launch of a new website, <a hef=http://www.GetAlts.com>GetAlts.com</a>.

FINTECH SEP 01, 2009
Schwab unveils major upgrade of website for advisers

Schwab Institutional today unveiled a significant redesign of its website for financial advisers.