Financial Professionals

  1. Blurred Lines: Whom Can You Trust for Financial ...

    The question of whether your financial advisor is truly a fiduciary isn't always ...
  2. Deutsche Bank's Fine and its Systemic Effects ...

    The IMF said earlier this year that the German lender “appears to be the most important ...
  3. Financial Services Has an Accountability Problem

    There's a problem plaguing the financial services industry: a lack of trust.
  4. How Utmost Good Faith is Applied in Practice

    The principle of utmost good faith is an articulation of the need for both parties ...
  5. How to Distinguish Advisors From Salespeople

    What's in a financial professional's title? Often a great deal of confusion and potential ...
  6. Identifying a Breach of Fiduciary Duty

    Pension fund managers are not the only entities owing a fiduciary duty to stockholders. ...
  1. Deutsche Bank's Fine and its Systemic Effects ...

    The IMF said earlier this year that the German lender “appears to be the most important ...
  2. Identifying a Breach of Fiduciary Duty

    Pension fund managers are not the only entities owing a fiduciary duty to stockholders. ...
  3. David Einhorn's Q1 Favorites: AAPL,YHOO,SUNEQ

    Find out why David Einhorn's Greenlight Capital increased its Q1 stake in AAPL, YHOO, ...
  4. Ken Fisher's Q1 Investment Moves: AAPL,EBAY,CSCO

    Ken Fisher made some interesting changes in AAPL, EBAY, and CSCO to his portfolio ...
  5. Billionaire John Paulson's Q1 Biotechs: AGN, ...

    Let's take a look at billionaire hedge fund manager John Paulson's Q1 investments ...
  6. T. Rowe Price vs. Fidelity: Comparing Small Business ...

    Read about two reputable 401(k) providers offering plans for small businesses, and ...
  1. Do financial advisors work only in banks?

    Learn how financial advisors are employed not only by various financial institutions, such as banks, but an increasing number ...
  2. What are the benefits of financial sampling?

    Learn more about how financial sampling is used to determine whether or not inaccurate or fraudulent information exists in ...
  3. How do I get started with a career in asset management?

    Find out how to get stated with a career in asset management whether you are still an undergraduate student or making a career ...
  4. How do I attract high net worth individuals (HNWI) as clients at my financial advisor ...

    Learn who high net worth individuals are and what you can do to attract and retain them in your financial advisory practice.
  1. CFP

    CFP Exam Guide
  2. Series 4

    FINRA Series 4 Exam Guide
  3. Series 99

    FINRA/NASAA Series 99 Exam Guide
  4. Series 24

    FINRA/NASAA Series 24 Exam Guide
Hot Definitions
  1. Derivative

    A security with a price that is dependent upon or derived from one or more underlying assets.
  2. Fiduciary

    A fiduciary is a person who acts on behalf of another person, or persons to manage assets.
  3. Sharpe Ratio

    The Sharpe Ratio is a measure for calculating risk-adjusted return, and this ratio has become the industry standard for such ...
  4. Death Taxes

    Taxes imposed by the federal and/or state government on someone's estate upon their death. These taxes are levied on the ...
  5. Retained Earnings

    Retained earnings is the percentage of net earnings not paid out as dividends, but retained by the company to be reinvested ...
  6. Demand Elasticity

    In economics, the demand elasticity refers to how sensitive the demand for a good is to changes in other economic variables. ...
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