Fiduciary Roles Under ERISA And Their Evolution In The Marketplace
Complimentary Webcast Presentation
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With retirement planning taking on greater importance as the nation ages, financial advisors have emerged as key players when it comes to safeguarding the future for millions of Americans. This webcast will explore how government policy, changing demographics and client demand for financial leadership have shaped the role of the fiduciary in the nation's retirement marketplace, and what changes may be in store for the future.
Among the topics to be addressed:
- How changing demographics, including the aging of baby boomers in a defined contribution environment, are driving policy.
- Expected SEC and Finra examination priorities related to retirement plans and IRAs.
- How concerns about the adequacy and sustainability of Americans' retirement benefits are impacting the thinking of government policy makers.
- Why plan sponsors struggle with the fiduciary component of plan management.
- The attributes that mark advisors who serve their clients as both fiduciaries and leaders.
- How elite retirement advisors broaden and deepen client relationships.
"AXA" is the brand name for the AXA Equitable Financial Services, LLC family of companies, including AXA Equitable Life Insurance Company (NY, NY), issuer of annuity and life insurance products, AXA Advisors, LLC (member FINRA, SIPC), which offers securities, and AXA distributors, LLC (member FINRA, SIPC) which distributes variable products. Life Insurance contains exclusions, limitations and forms for keeping it in force. For costs and complete details, contact a Financial Professional. AXA Equitable and its affiliates are not affiliated with any of the entities mentioned in this content.
Accepted for 1 CE hour toward the
CIMA®/CIMC®/CPWA® designations.
Presented by
Sourcing and Working
with Millionaire Investors
Focusing on Clients Who Have
$1 million to $5 million in Investable Assets
Webcast Presentation
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Most financial advisors are focusing on millionaires. These people are investors with between $1 million and $5 million in investable assets. For many financial advisors, they represent the ideal client.
This webinar conducted by Russ Alan Prince, the leading authority of the private wealth industry, will explain some of the most effective and powerful ways of sourcing and working with these millionaires.
Topics to be covered include:
- How to create millionaire investor client loyalty.
- How to get more assets to manage from millionaire investors when you don’t have them all.
- The role of providing multiple financial products to millionaires investors.
- How to motivate millionaire investors to refer their peers.
- How to work with centers of influence to obtain new millionaire investors.
For financial advisors interested in building a highly profitable book of business with millionaire investors, this webinar provides key insights and actionable strategies that can translate into new and expanded business.
Russ Alan Prince is one of the leading authorities within the private wealth industry. He regularly consults to the rich and super-rich concerning the mindset and behaviors that translate into extreme personal wealth creation.
Accepted for 1.5 CE hours toward the
CIMA®/CIMC®/CPWA® designations.
Produced by
Confronting Market Volatility: Help Clients Weather The Market's Ups And Downs
Complimentary Webcast Presentation
Speaker
Mark E. Carver
Head of iShares
Equities Smart Beta
You're likely facing discussions with your clients about looming market volatility. To help address the challenge, hear Mark Carver, Head of iShares Equities Smart Beta, as he discusses strategies to help minimize the market's peaks and valleys over the long-term.
Topics to be covered include:
- Economic landscape driving equity market volatility
- Potential for upside participation and downside protection: Methodology and benefits of using minimum volatility strategies
- Building better client portfolios with potentially less risk
Accepted for 1 CFP Board CE Credit and 1 CE hour toward the
CIMA®/CIMC®/CPWA® designations.
Presented by
Capturing Money In Motion
How to Gather Assets When They Move
Webcast Presentation
Speaker
Russ Alan Prince
Executive Director,
Private Wealth Magazine
Bringing in new assets is usually one of the highest priorities of financial advisors. It is also often one of the more difficult activities. Nevertheless, there are many times when money goes into motion providing financial advisors opportunities to increase the assets they have under management.
This webcast, conducted by Russ Alan Prince, the leading authority in the private wealth industry, will address three critical times money moves:
- When a privately held business is sold
- When the wealthy divorce
- When the children inherit
The key factors and actions financial advisors need to take in order to capture these assets as they move will be discussed.
Accepted for 1.5 CE hours toward the
CIMA®/CIMC®/CPWA® designations.
Produced by
ARCHIVES
Planning From The Inside Out
Click here for the video replay and presentation slides
Complimentary Webcast Presentation
Sponsored by
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Based on his book that Nick Murray describes as “the one genuine ‘book of the year’ for advisors,” Roy Diliberto will walk you through the discovery process he and his partners use to help clients address issues and reconcile conflicts they may have sought to avoid. Using integrity and empathy, this process helps clients make the truly important decisions in their lives. In doing so, it enables advisors to increase client acquisition and retention.
This event is being conducted by Financial Advisor. RTD Financial Advisors, Financial Advisor, and LPL Financial are separate entities. LPL Financial is not responsible for any direct or incidental loss incurred by applying any of the information offered.
Presented by
Complimentary Webinar
Sponsored by
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Choosing the right portfolio for your client has always involved both risk estimation and investment goal planning. To add the most value those two activities and tools used for performing them must be closely linked. In order to become a trusted advisor, it is crucial to not only have variety of tools at your disposal, but to provide an integrated proposal to your prospect or client. Ultimately, this proposal must answer the ‘So-What’ question of relevance to client’s own goals, dreams and fears. During the webinar we will discuss how to put together such a proposal that uses rigorous math and is also directly relevant for client’s future.
Bringing it all together: portfolio construction trends and techniques
December 10, 2014
Time: 4:00 pm EST
Complimentary Webcast
Click here for the video replay and presentation slides
Sponsored by
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The move to advisory has quickly grown in the U.S. from a niche specialization to a mainstream strategy utilized by financial advisors. Hear BlackRock's Global Chief Investment Strategist Russ Koesterich and Head of U.S. Wealth Advisory Model Portfolio Investment Research, Michael Gates, discuss this budding trend and techniques you can implement to build better portfolios for your clients. In this session you will learn about investment strategies that go beyond picking individual stocks and bonds; learn about model portfolios as a way to:
- Deliver scalable asset allocation guidance
- Leverage sophisticated risk analytics with clients
- Construct flexible and cost-effective portfolios
Presented by
No Excuses! 4 Action Steps for Making More Money and Getting Results Now!
December 9, 2014
Time: 2:00-3:00 pm EST
Complimentary Webcast
Click here for the video replay
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Not getting the results you’d like to have and think you deserve?
Would you like to have your results come more quickly?
What if you could achieve even better results with less effort?
Tired of driving down the mediocrity road?
Wanting success, but always seeing it at the next exit?
This No Excuses high-value tele-seminar can transform your business or help you meet goals that are important to you in any area of your life. You will learn 4 Action Steps for Making More Money and Getting Better Results. You will learn key action steps to help you
- Break Down Limiting Beliefs and Increase Your Success
- Overcome Fears that Hold You Back
- Take a No Excuses Approach and Be Even More Productive
- Really Be 100% Committed to Achieving Your Goals
During this high-content tele-seminar Anne Bachrach will share lessons from coaching small business owners who make middle six-figure to seven-figure incomes.
After enjoying a successful career with IBM, Anne Bachrach starter her own firm, A.M. Enterprises. For nearly a quarter of a century, Bachrach has worked with entreprenuers to maximize their true potential, and ultimately leading them to a totally balanced life. While pursuing her own career goals, Anne began to realize the effect personal accountability was having on her own business. The systems and tools she used early in her career, along with her experiences, are the foundation of the program she continues to use with her clients today.
Presented by
Women and Wealth: Unprecedented Opportunities
Webcast Presentation
December 2nd
2 p.m. EST
Click here for the video replay and presentation slides
Sponsored by
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Speaker Meg Bavaro, CIMA® Sales Manager for Wells Fargo Funds Distributor, LLC. |
Women are a powerful financial force: They control more than half of the personal wealth in the U.S. They also have unique expectations of financial advisors and distinct communication preferences.
Is your client satisfaction as high for women as it is for men? Do you know which communication strategies can keep women in your practice and how to attract new female clients?
Attend this live webinar to learn:
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Why it matters—the size of this market and when women fire advisors
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What women need—common investment challenges
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What women want—expectations for their advisors
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How you can improve—tactics to attract and retain female clients
The interactive event is presented by Meg Bavaro, CIMA®, sales manager for Wells Fargo Advantage Funds®.
Presented by
What You Don’t Know About Medicare That Could Wreck Your Clients' Retirement
Click here for the video replay and presentation slides
Webcast Presentation
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Speaker Dr. Katy Votava President and Founder GOODCARE.com |
With cutbacks in Medicare and private health insurance and as the cost of medical care grows, more people are worried about how they can retire and afford health care. Dr. Katy Votava, a Medicare expert, will discuss these challenges and provide examples of how you can help clients plan for these costs. These critical features have a significant impact on retirement planning and the cost of Medicare in retirement:
- Impact of Medicare on retirement planning
- Effects of higher income on Medicare premiums
- Strategies to avoid lifelong Medicare penalties
- How to minimize the cost of Medicare
- How to maximize Medicare coverage
- How to integrate these strategies into your retirement planning.
Presented by
Fireside Chat with Fidelity’s Kathy Murphy
Powerful Event for Powerful Women – Live Streaming to Your Desk
Kathy Murphy, President, Personal Investing, Fidelity Investments
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Join Fidelity’s Kathy Murphy, one of the industry’s most powerful women, and CNBC’s Sharon Epperson, in this exciting live, interactive streaming event. Get powerful advice – plus your questions answered.
In this powerful session, you’ll learn about:
- Personal Finance: the “Game of Life” – how to think about your finances at any stage of life
- Women Investing: why it’s so important today for women to engage in their finances
- Revere the Customer: why Kathy listens to 20 hours of customer calls per month on her iPod
- Leadership Principles: striving to be a great leader, not just a strong manager
- The power of “Bad Sandwiches”: important career lessons that Kathy learned growing up in a large Irish family in central Connecticut
- Advice for women who want to advance, and more
- A great event to boost your success – the FWA Way!
How To Thrive In The ‘Robo-Advisor’ Age
Webcast Presentation
Sponsored by
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Expert panelists will discuss how advisors can attract and retain clients during a challenging time when the Internet and technology are commoditizing the financial advice business, and globalization is increasing asset class correlation and complicating portfolio construction. The webinar will explore ways that advisors can enhance their value to clients by improving portfolio diversification, coaching them through tough times, carefully assessing their needs and goals, and communicating with them as one human being to another.
This webinar qualified for 1.0 hour of CFP Board CE credit
and 1.0 hour of CIMA®, CIMC® or CPWA® CE credit.
Presented by
Five Steps To Protect High-Net-Worth Clients from High-Stakes Lawsuits
Click here for the video replay and presentation slides
Sponsored by
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Too many high net worth (HNW) families fail to protect their assets from personal liability lawsuits, which can take years to litigate and result in awards and settlements well in excess of $10 million. It’s why many wealth advisors consider personal liability risk to be one of the most neglected components of a total wealth protection plan.
This course explores the liability exposures of HNW families and presents a five-step plan for addressing them. It compares the perceptions HNW individuals have about liability risk with the realities they face. It reviews how wealth and a wealthy lifestyle lead to increased liability risk, and how jury composition and widespread legal doctrines such as joint and several liability further increase this risk. The course will detail these families’ growing concerns, which include financial loss, stress of protracted legal proceedings, and damage to their reputations and earning power.
The five-step plan explains how HNW families can shield themselves from these risks, including what types and amounts of insurance coverage are needed and how to recognize important coverage differences between policies. Finally, it suggests how and when wealth advisors can raise liability protection as an issue with their HNW clients to both strengthen client loyalty and better fulfill their fiduciary duty.
Produced by
Successfully Addressing Unique Risk Challenges of HNWI
Webinar Presentation
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High net worth individuals (HNWI) face unique investment challenges and risks. In order to successfully work with such investors advisors must have a detailed understanding of those risks. One of the unique challenges is the illiquidity of assets that are the source of wealth and income for the HNW family (family business, executive stock options, real estate etc.). If an investment portfolio experiences significant losses at the same time the source of wealth is losing value, family’s lifestyle and goals could be derailed. During the webinar we will show how advisors can use Portfolio Crash Testing to create personalized risk scenarios for HNW prospects and clients, how to present to them and how to hedge unacceptable risks with options using a simple interface.
Presented by
The Dos and Don'ts of Social Media and Email Archiving for Financial Advisors
June 26, 2014
2:00 to 3:00 pm ET
Complimentary Webinar
Click here for video replay and presentation slides.
Sponsored by
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Building a presence on social media sites like Twitter, LinkedIn and Facebook can help financial advisors build a strong brand, attract new clients and enhance relationships with existing clients. But from a compliance standpoint, all too often, the message is clear: Stay away!
FINRA has determined that any registered representative who uses social media for business purposes is subject to the same regulations that would govern an in-person presentation or public appearance. And both FINRA and the SEC require all communications—including email and social media communications—to be captured and retained for six years
Non-compliance can be very costly. Just ask the broker/dealer that had to pay a $7.5 million fine last year for failing to properly manage its email archive.
But turning a compliance nightmare into a business opportunity is easier than you think!
Join us on June 26th for an overview of:
- The regulations surrounding social media and email archiving.
- How to avoid infractions and fines associated with social media and email archiving.
- Laserfiche’s integrated email archiving and social media archiving solutions.
Presented by
Many diverse perspectives. One asset allocation strategy.
Click here for video replay and presentation slides.
June 24, 2014
4:10 to 5:10 pm EDT
Complimentary Webinar
Sponsored by
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Speaker T. Rowe Price Group, Inc. |
Speaker
Umbarger, CFA |
Around the World with T. Rowe Price
Join T. Rowe Price as we travel around the world in 50 minutes to offer you perspectives on the current state of the global markets and how our asset allocation portfolios are positioned in today's environment. Follow the journey that our Asset Allocation Committee takes when exploring how to invest the $170b in our asset allocation franchise, including market conditions, current themes, the consensus view, and T. Rowe Price positioning. We'll provide you access to our global perspectives, but also T. Rowe Price's allocation process, to provide an input into your own personal viewpoint and resulting investment decisions.
For more information please visit www.troweprice.com/fa
Presented by
Income Producing Alternatives: Understanding Business Development Companies (BDCs)
June 18, 2014
Time: 2:00-3:00 pm ET
Complimentary Webinar
Click here for video replay and presentation slides.
Sponsored by
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Are your clients tired of searching for yield in today’s low interest rate environment? The answer may lie in Business Development Companies, or BDCs – an income producing alternative asset class that has generally flown under investors’ radars – until now.
BDCs were created by Congress in 1980 to help stimulate lending in the U.S. and enable public investors to invest in private, growing businesses. Today, the industry is a powerful force in middle market lending with a market capitalization of over $30 billion and growing.
Governed by the Investment Act of 1940, BDCs are pass-through entities, similar to REITs, that can bypass corporate income taxes as long as they distribute at least 90% of taxable annual net income as dividends to shareholders. BDCs are known for their attractive dividend yields that can reach double-digits -- a rare commodity these days well-suited for retirees and other income-seeking investors. However, not all BDCs are the same or offer the same quality of investments. In fact, BDCs can adopt very different approaches, depending on each management’s philosophy.
Register now for our live webinar to learn more about this emerging asset class and what to look for when evaluating these alternatives. Selectivity counts – and certain BDCs can allow clients to receive:
- Attractive, recurring dividends
- Access to risk-averse portfolios of private, middle market credits
- Liquidity
- Diversification across many industries
- Floating rate exposure (helping to position for rising interest rates)
With over $4 billion in AUM, Fifth Street Management LLC is a leading alternative asset manager focused on credit solutions and the investment adviser to two publicly-traded BDCs – Fifth Street Finance Corp. (FSC), one of the largest in the country by market capitalization, and Fifth Street Senior Floating Rate Corp. (FSFR). For more information, please visit fifthstreetfinance.com/fa.
Presented by
Ideal Life, Ideal Business, and Ideal Clients
June 17, 2014
Time: 2:00-3:00 pm ET
Complimentary Webinar
Click here for the video replay
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Ideal Life, Ideal Business, and Ideal Clients... How? On this what-to-do and how-to-do-it webinar, Bill will share insights into how you can create Your Ideal Life and build Your Ideal Business with Ideal Clients so you can have:
- More recurring revenue
- More time off
- More referrals
- A great life!
This business is a great business. Regardless of markets, economics, politics, regulations, or world events, you are in a profession where you control your destiny. People always need advice about their money. It's a great business for at least 3 reasons:
- Ideal life income
- Time freedom
- Helping people
How do you capitalize on all this great business has to offer? Can you really create your Ideal Life and build an Ideal Business? Absolutely! It won't happen by accident, but you can make it happen.
The more successful you are today, the more you will appreciate how these ideas will help you build the business you always wanted to have. Find out why many of the top FAs from around the world invest more than a quarter of a million dollars to be trained by Bill and his team
Bill Bachrach, CSP, CPAE is considered the financial services industry’s leading authority on building high-trust client relationships. He is a popular keynote speaker and successful financial professionals from around the world subscribe to the Values-Based Financial Planning™ turn-key business model to establish themselves as top 1% advisors in terms of value for their clients, financial success, and quality of life. www.billbachrach.com
Presented by
Overcome Thincome: Smart Ways to Harvest Yield in Today's Bond Market
Complimentary Video Webcast Recording
Sponsored by
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Must-Know Fixed-Income Insights
Maximizing your clients' income potential requires a clear perspective on where to harvest yield and how to avoid risks that may lie beneath the surface.
Register now for our live video webcast on Wednesday, May 28, to gain timely insights from our investment professionals and earn CE credit.
Topics include:
- Outlook on monetary and fiscal policy and implications for the bond market;
- Attractiveness of corporate bonds, bank loans, high yield, and other sectors;
- Useful portfolio-construction ideas, including blended strategies; and
- Insight on credit research and the value of integrating environmental, social, and governance (ESG) factors.
About Calvert Investments: We are a leading investment management company using sustainability as a platform to create value for investors.
Investing in mutual funds involves risk, including possible loss of principal invested.
For more information on any Calvert fund, please contact Calvert at 800.368.2750 for a free summary prospectus and/or prospectus. An investor should consider the investment objectives, risks, charges, and expenses of an investment carefully before investing. The summary prospectus and prospectus contain this and other information. Read them carefully before you invest or send money.
Calvert mutual funds are underwritten and distributed by Calvert Investment Distributors, Inc., member, FINRA, and subsidiary of Calvert Investments, Inc.
BROKER-DEALER/INSTITUTIONAL USE ONLY. NOT FOR PUBLIC DISTRIBUTION.
www.calvert.com | Calvert Investments | 4550 Montgomery Avenue | Bethesda, Maryland 20814
#WB10245 (05/2014)
Presented by
The Cost-Free Business-Building Strategy for the New Economy
Click here for video replay and presentation slides.
Complimentary Webinar
April 23, 2014
Time: 4:00-5:00 pm ET
Sponsored by
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To remain successful, financial advisors must possess the cutting-edge knowledge and tools that will help their clients—and their business—adapt to the challenges of the new economy. During this live webinar, you’ll learn:
- How you can generate free warm leads that increase your revenue and assets under management, by asking one simple question of your existing clients
- An easy but innovative new strategy you can use to build upon your core business, while helping your clients and their extended families mitigate risk and have more secure financial plans
The Baby Boom generation—with 78 million members—has begun entering retirement, and is driving demand once again. In the U.S., 10,000 people per day turn age 65, and life expectancy is increasing. The Boomers have caused most of the major market trends of the past 60 years, and their final market impact could be devastating. This represents an unprecedented, and often overlooked, opportunity for your business to address a vital need. But how can you tap into this opportunity to the advantage of both you and your clients? The answer is surprisingly simple.
DISCLOSURE:
For business and professional use only. Not for consumer distribution.
NMLS #2285 (www.nmlsconsumeraccess.org); Corporate Office: 8909 South Yale Avenue, Tulsa, OK 74137; Arizona Mortgage Bankers License #0921300, Mortgage Bankers Branch License #0117862 – 625 West Southern Ave., Suite E171, Mesa AZ 85210; Licensed by the California Department of Corporations under the California Residential Mortgage Lending Act; Licensed under the California Department of Corporations under the California Finance Lenders Law; Colorado: To check the status of your Colorado loan originator, visit http://www.dora.state.co.us/real-estate/index.htm; Georgia Residential Mortgage Licensee #23647, 8909 South Yale Avenue, Tulsa, OK 74137; Illinois Residential Mortgage Lender License #MB6759657; Kansas Licensed Mortgage Company #MC0002210; Massachusetts Lender/Broker License MC2285: URBAN FINANCIAL OF AMERICA, LLC; Licensed by the Mississippi Department of Banking and Consumer Finance; Licensed by the Missouri Division of Finance as a Mortgage Broker, 1201 Walnut, Suite 975, Kansas City, MO 64106; Licensed Mortgage Banker – NYS Department of Financial Services, 3 Huntington Quadrangle, Suite 305N, Melville, NY 11747; Licensed by the New Hampshire Banking Department; Oregon License #ML-4805; Licensed by the New Jersey Department of Banking and Insurance; Licensed by the Pennsylvania Department of Banking; Rhode Island Licensed Lender; Licensed By the Virginia State Corporation Commission #MC-5413; Washington Consumer Loan Company License #50202. Also conduct business in AL, AR, CT, FL, ID, IN, KY, LA, ME, MD, MI, NE, NM, NC, OH, OK, PR, SC, TN, TX, UT, VT, WV, WI, and WY. Not all products and options are available in all states. Terms subject to change without notice. ©2013 Urban Financial of America, LLC. All Rights Reserved. CALIFORNIA BUSINESS NAME: URBAN FINANCIAL GROUP OF AMERICA, LLC. NEBRASKA BUSINESS NAME: REVERSE IT! LLC.
Presented by
High-Trust Leadership for Financial Advisors
Complimentary Webinar
April 16, 2014
Time: 2:00-3:00 pm ET
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In this powerful, content-rich webinar Bill will discuss the keys to going beyond being a technically competent practitioner to running your business like a true CEO and high-trust leader.
As a result you will more effectively:
- Lead your clients to make smart choices about their money without being distracted by what is out of their control like the markets, the economy, politics, and world events.
- Lead your team to own the results necessary for optimal client service and business success.
- Lead yourself to have the discipline to do what’s most important and productive rather than what’s comfortable and familiar.
The real-world impact will be:
- More revenue and profit from Ideal Clients.
- Less stress and anxiety
- Greater time freedom and quality of life
To be one of the most successful financial professionals in today’s world you must effectively lead yourself, lead your clients, and lead your team.
Join us for an hour that could truly improve your business and your life.
Bill Bachrach, CSP, CPAE is considered the financial services industry’s leading authority on building high-trust client relationships. He is a popular keynote speaker and successful financial professionals from around the world subscribe to the Values-Based Financial Planning™ turn-key business model to establish themselves as top 1% advisors in terms of value for their clients, financial success, and quality of life. www.billbachrach.com
Replay will be available soon.
Presented by
Three Steps To Growing Financial Advisory Practice with Portfolio Crash Testing
Webinar Presentation
Sponsored by
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When investors turn to financial advisors they have two objectives: reaching investment goals, while taking appropriate amount of risk. These two objectives are usually conflicting and lead to misunderstanding and loss of clients, especially during turbulent times. In this webinar you will learn how to use Portfolio Crash Testing application to find the right balance between reaching retirement goals and building portfolios that are suitable to client's risk tolerance level. Key points of the webinar:
- How to quickly and efficiently analyze the risk picture of any portfolio
- How to educate clients about risk/return tradeoffs using portfolio crash tests
- How to gain competitive advantage by explaining risk concepts using simple graphics
- How to protect clients from specific risks that they don’t want to take
- How to validate your model portfolios and show to clients that they will perform as intended in various environments
Presented by
CEF Income & Discount Opportunities: An ETF Solution
Click here for video replay and presentation slides.
Sponsored by
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Speaker |
Segments of the closed-end fund (CEF) universe may offer today’s investor a unique set of income opportunities. Accessing these potential opportunities through the ETF structure may add additional portfolio benefits including efficiency, diversification and transparency.
Join us for an in depth discussion about a rules based approach to income investing that seeks to deliver the potential opportunities found in CEFs via the efficiency of an ETF.
Topics to be discussed include:
- An Overview of the CEF & ETF Marketplace Today
- CEF Premium and Discount Trends
- Investment Strategy Driven CEF Investing
- Indexing CEFs Based On Investement Strategy
- Portfolio Characteristics of YYY: An ETF of CEFs
For Financial Professional Use Only
Carefully consider the Fund’s investment objectives, risk factors, charges and expenses before investing. This and additional information can be found in the Fund’s prospectus, which may be obtained by visiting www.yieldshares.com. Read the prospectus carefully before investing.
Investing involves risk, including the possible loss of principal. Because the Fund is a fund of funds, its investment performance largely depends on the investment performance of the Underlying Funds in which it invests. An investment in the Fund is subject to the risks associated with the Underlying Funds that comprise the Index, including risks related to investments in derivatives, REITs, foreign securities and municipal securities. Fixed-income securities’ prices generally fall as interest rates rise. High yield securities are subject to the increased risk of an issuer’s inability to meet principal and interest payment obligations. These securities may be subject to greater price volatility due to such factors as specific corporate developments, interest rate sensitivity, negative perceptions of the non-investment grade securities markets, real or perceived adverse economic conditions, and lower liquidity. Preferred stock is subject to many of the risks associated with debt securities, including interest rate risk. In addition, preferred stock may not pay a dividend, an issuer may suspend payment of dividends on preferred stock at any time, and in certain situations an issuer may call or redeem its preferred stock or convert it to common stock. International investments may also involve risk from unfavorable fluctuations in currency values, differences in generally accepted accounting principles, and from economic or political instability.
There is no guarantee that the fund will meet its investment objective. There is no guarantee the fund will pay distributions.
The Fund will pay indirectly a proportional share of the fees and expenses of the Underlying Funds in which it invests, including their investment advisory and administration fees, in addition to its own fees and expenses. In addition, at times certain segments of the market represented by constituent Underlying Funds may be out of favor and underperform other segments. The underlying holdings of the fund may be leveraged, which will expose the holdings to higher volatility and may accelerate the impact of any losses.
Exchange Traded Concepts, LLC serves as the investment advisor, and Index Management Solutions, LLC serves as a sub advisor to the fund. The Funds are distributed by SEI Investments Distribution Co., which is not affiliated with Exchange Traded Concepts, LLC or any of its affiliates.
Presented by
Millennials and Money: Evolving Your Business for the 21st Century
Click here for video replay and presentation slides.
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An unprecedented amount of money—more than $10 trillion, by some estimates—will transfer from one generation to the next in the coming 10 years. This spells opportunity; however, success hinges on understanding how to attract and retain a new generation of clients.
In this webinar, you will gain valuable advice on how to work effectively with the Millennial generation from Wayne Badorf, who has studied the best practices of premier advisors for more than 20 years. Hear his recommendations for structuring your practice to enhance your value to Millennials and:
- Discover the pitfalls of a one-size-fits-all approach to service
- Get a clear road map for staying connected to a tech-savvy audience
- Learn what steps you can take right now to ensure that your practice thrives
The funds are distributed by Wells Fargo Funds Distributor, LLC, Member FINRA/SIPC, an affiliate of Wells Fargo & Company. 222689 02-14
Sponsored by
The Cost-Free Business-Building Strategy for the New Economy
Click here for video replay and presentation slides.
Complimentary Webinar
February 4, 2014
Time: 4:00-5:00 pm EST
Sponsored by
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To remain successful, financial advisors must possess the cutting-edge knowledge and tools that will help their clients—and their business—adapt to the challenges of the new economy. During this live webinar, you’ll learn:
- How you can generate free warm leads that increase your revenue and assets under management, by asking one simple question of your existing clients
- An easy but innovative new strategy you can use to build upon your core business, while helping your clients and their extended families mitigate risk and have more secure financial plans
The Baby Boom generation—with 78 million members—has begun entering retirement, and is driving demand once again. In the U.S., 10,000 people per day turn age 65, and life expectancy is increasing. The Boomers have caused most of the major market trends of the past 60 years, and their final market impact could be devastating. This represents an unprecedented, and often overlooked, opportunity for your business to address a vital need. But how can you tap into this opportunity to the advantage of both you and your clients? The answer is surprisingly simple.
DISCLOSURE:
For business and professional use only. Not for consumer distribution.
NMLS #2285 (www.nmlsconsumeraccess.org); Corporate Office: 8909 South Yale Avenue, Tulsa, OK 74137; Arizona Mortgage Bankers License #0921300, Mortgage Bankers Branch License #0117862 – 625 West Southern Ave., Suite E171, Mesa AZ 85210; Licensed by the California Department of Corporations under the California Residential Mortgage Lending Act; Licensed under the California Department of Corporations under the California Finance Lenders Law; Colorado: To check the status of your Colorado loan originator, visit http://www.dora.state.co.us/real-estate/index.htm; Georgia Residential Mortgage Licensee #23647, 8909 South Yale Avenue, Tulsa, OK 74137; Illinois Residential Mortgage Lender License #MB6759657; Kansas Licensed Mortgage Company #MC0002210; Massachusetts Lender/Broker License MC2285: URBAN FINANCIAL OF AMERICA, LLC; Licensed by the Mississippi Department of Banking and Consumer Finance; Licensed by the Missouri Division of Finance as a Mortgage Broker, 1201 Walnut, Suite 975, Kansas City, MO 64106; Licensed Mortgage Banker – NYS Department of Financial Services, 3 Huntington Quadrangle, Suite 305N, Melville, NY 11747; Licensed by the New Hampshire Banking Department; Oregon License #ML-4805; Licensed by the New Jersey Department of Banking and Insurance; Licensed by the Pennsylvania Department of Banking; Rhode Island Licensed Lender; Licensed By the Virginia State Corporation Commission #MC-5413; Washington Consumer Loan Company License #50202. Also conduct business in AL, AR, CT, FL, ID, IN, KY, LA, ME, MD, MI, NE, NM, NC, OH, OK, PR, SC, TN, TX, UT, VT, WV, WI, and WY. Not all products and options are available in all states. Terms subject to change without notice. ©2013 Urban Financial of America, LLC. All Rights Reserved. CALIFORNIA BUSINESS NAME: URBAN FINANCIAL GROUP OF AMERICA, LLC. NEBRASKA BUSINESS NAME: REVERSE IT! LLC.
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Communicating in a Client-Centered Manner Gets Even Better & Faster Results
Click Here for the Video Replay
Complimentary Webinar
December 4, 2013
Time: 2:00-3:00 pm EST
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During this high-content webinar you will learn 12 questions that will help you build a more client-centered business and assist you in enhancing your clients' and prospects' experiences. The results can lead to:
- Prospective clients who are more likely to hire you in the first meeting.
- Clients who are more inclined to do all of their business with you.
- Clients who are more consistently refer.
Many advisors think their business practices are client-centered, yet there is almost always an opportunity to become even more client-centered. The payoff of even small improvements in this area can be substantial. Most advisors agree that their businesses should be all about their clients, even though they have not yet formulated or implemented a game plan for actualizing this reality.
The presented action-able, results-producing strategies will help you to:
- Communicate in a way that is truly about your clients and prospects
- Get more clients
- Keep the clients you want to keep
- Achieve your goals
- Be even more focused on activities that produce results
During this what-to-do and how-to-do-it webinar, Anne Bachrach will share proven principles that are being successfully implemented by the advisors she coaches who earn middle six-figure to seven-figure incomes.
After enjoying a successful career with IBM, Anne Bachrach starter her own firm, A.M. Enterprises. For nearly a quarter of a century, Bachrach has worked with entreprenuers to maximize their true potential, and ultimately leading them to a totally balanced life. While pursuing her own career goals, Anne began to realize the effect personal accountability was having on her own business. The systems and tools she used early in her career, along with her experiences, are the foundation of the program she continues to use with her clients today.
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How To Trade ETFs
Webinar Presentation
Click here for video replay and presentation slides.
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Choosing the right ETF is only half of the battle. Finding the best way to execute ETF trades is critical to retian clients and improve returns. In this special one-hour webinar, the experts from IndexUniverse explain the truths about ETF liquidity and ETF trading strategies, and examine how to achieve best execution when handling ETF trades both large and small.
- Why ETFs don't trade like stocks
- Myths and risks about ETF liquidity
- Market makers, APs and liquidity providers: Do they actually help you?
Presented by
H2ALPHA: Activate the Water Investment Theme with Your Clients
Live Video Webinar Presentation
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Moderated by: Tom Kostigen, Editor-at-Large - Private Wealth magazine
Presented by Financial Advisor magazine and sponsored by Calvert Investments, this one hour live video webcast will prepare financial advisors and planners to inform and engage clients in the burgeoning opportunity in water investment.
Specifically advisors will hear valuable perspectives on:
- Investment thesis: Gain insights to the economic drivers that make water a strong long-term investment opportunity with staying power.
- How it fits: Understand the water asset class, its role in your clients' asset allocation plan, and the key industries that are expected to drive future growth.
- Value of active management: Learn how investment professionals identify winning companies that are creating innovative solutions to global water sustainability challenges.
Featuring unparalleled expertise in water sector strategy, portfolio management, and sustainability research and policy, our panelists are:
- Steve Falci: Head of Strategy Developmen-Sustainable Investments, Kleinwort Benson Investors
- Matt Sheldon: Portfolio Manager, Calvert Global Water Fund (CFWAX), Kleinwort Benson Investors
- Ellen Kennedy: Senior Sustainability Analyst, Calvert Investments
DISCLOSURE:
For more information on any Calvert fund, please contact Calvert at 800.368.2748 for a free summary prospectus and/or prospectus. An institutional investor should call Calvert at 800.327.2109. An investor should consider the investment objectives, risks, charges, and expenses of an investment carefully before investing. The summary prospectus and prospectus contain this and other information. Read them carefully before you invest or send money.
Calvert funds are available at NAV for RIAs and Wrap Programs. Not all funds available at all firms.
Calvert mutual funds are underwritten and distributed by Calvert Investment Distributors, Inc., member FINRA <http://www.finra.org/> and subsidiary of Calvert Investments, Inc. (9/13)
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Get Compliant with Social Media
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The recent FINRA case of a broker fined and suspended for violating its social media policy underscores the importance of knowing the rules and what's allowed. In this one-hour conversation with former Fidelity compliance chief Stuart Fross and industry experts, we'll address:
- Planning for the regulators - versus failing to plan
- The top issues compliance officers and marketers should address to use social media.
- Challenges with LinkedIn, other social platforms to engaging clients, prospects
- Client comments on advisor blog sites
- Elements of a good social media policy (template provided)
- Best practices in using social media for advisors and compliance officers.
- Strategies and tools for saving time with a unified and compliant approach to social media.
Who should attend:
- Compliance Professionals
- Financial advisors and marketing leaders such as: CMO, Digital marketing heads, content/communications.
Presented by
Click Here For The Video Replay
Complimentary Webinar
October 8, 2013
Time: 2:00-3:00 pm EDT
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Wouldn't it be great if your clients told you exactly how much they trust you? What would you do with that information? How would it help you help your clients? Would they be more likely to follow your advice? How would that impact their success and yours?
If your clients have an imaginary trust dial embedded in their subconscious, and they do, where does the needle on that trust dial have to be so your clients trust you completely? And if you are dealing with spouses or partners, keep in mind that there are two separate trust dials at work.
In this content packed, what-to-do and how-to-do-it webinar, you will learn:
- The 6 Metrics of Trust, so you can more predictably create the high-trust client relationships that drive better client implementation of your advice.
- How to measure each trust metric, so you discover exactly how much your clients trust you based on their behavior, not just a hunch or a guess on your part.
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How to use this information to become a better advisor for your clients and grow your business to the next level as measured by:
- more revenue from planning and advice fees
- more revenue from assets under management
- more revenue from other advice implemented; insurance, annuities, estate planning, etc.
- and referrals
Make it your goal to become the kind of advisor and communicator who can move the needle on the trust dial to create a clientele who are fully comprehensive, consolidate all of their business with you, act on your advice, are more influenced by you than negative external events and media spin, happily pay your fee, and consistently introduce you to friends, family, and colleagues.
Bill Bachrach, CSP, CPAE is considered the financial services industry’s leading authority on building high-trust client relationships. He is a popular keynote speaker and successful financial professionals from around the world subscribe to the Values-Based Financial Planning™ turn-key business model to establish themselves as top 1% advisors in terms of value for their clients, financial success, and quality of life. www.billbachrach.com
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Buyer Prepare: Building a Million-Dollar Practice Through Acquisitions
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Complimentary Webinar Presentation
October 3, 2013
2:00 to 3:00 pm EDT
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Acquiring another practice can be a highly effective method of growth for a financial advisor. With the average length of time a practice is on the market at just five weeks, advisors cannot wait until a practice becomes available to start preparing.
In this one-hour webinar, our panel of experts and acquisition veterans will discuss:
- Marketing yourself to potential sellers as a strong buyer candidate
- Preparing your staff and your business for an influx of new clients
- Negotiating the deal
- Maximizing your investment after the sale
Attendees will receive the white paper, Buyer Prepare: Marketing Yourself as a Practice Buyer
Sponsored by
Presented by
Retaining Female Clients Through Difficult Life Transitions
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70% of widows leave their advisor within the first year of their spouse’s death*.
Attend our upcoming webinar to learn how to solidify your relationships with female clients facing this difficult life transition—giving them confidence that you will help them to navigate the financial changes ahead.
Women & Widowhood
September 26
2:00 – 3:00 EDT
In this webinar you will learn:
- Best practices for creating rapport and building trust with female clients, specifically those facing widowhood.
- Sometimes overlooked approaches to active listening, coaching and demonstrating empathy.
- Key financial planning tactics for widows related to life insurance, employer benefits, Social Security and estate planning.
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Please consider the charges, risks, expenses and investment objectives carefully before investing. Please see a prospectus or, if available, a summary prospectus containing this and other information. Read it carefully before you invest or send money.
The tax information contained herein is provided for informational purposes only and should not be construed as legal or tax advice. Circumstances may change over time so it may be appropriate to evaluate tax strategy with the assistance of a professional tax advisor. Federal and state tax laws and regulations are complex and subject to change. Laws of a particular state or laws that may be applicable to a particular situation may have an impact on the applicability, accuracy, or completeness of the information contained in this document. Janus does not have information related to and does not review or verify particular financial or tax situations. Janus is not liable for use of, or any tax position taken in reliance on, such information.
A retirement account should be considered a long-term investment. Retirement accounts generally have expenses and account fees, which may impact the value of the account. Non-qualified withdrawals may be subject to taxes and penalties. For more detailed information about taxes, consult a tax attorney or accountant for advice.
Funds distributed by Janus Distributors LLC (08/13)
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*Fidelity Investments, 2012
Presented by
Risk ReVision: Recalibrating Opportunities for Your Clients
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Risk and opportunity go hand in hand. But, have your clients been driven into retreat from investing because of unrealistic fears of risk? There are steps you can take to help your clients better distinguish between real and perceived risks so they can get back on the road to a sound financial future.
Our webinar offers you a clear road map to help you get your clients out of neutral and shift them forward. You’ll gain an understanding of how to:
- Realign your clients' perspectives of risk and opportunity
- Build momentum by leveraging key steps to overcoming obstacles for client success
- Change your clients' mindsets from passive to goal-driven investing
The funds are distributed by Wells Fargo Funds Distributor, LLC, Member FINRA/SIPC, an affiliate of Wells Fargo & Company.
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Best Practices In Compliant Social Media
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Stay ahead of the curve as social media changes your business and your internal policies. In this one hour Webinar, we will discuss:
- The latest in trends related to client use of social media for financial advisor decision-making.
- How advisors partner effectively with compliance officers to use social media.
- Steps to get started with social media.
- Best practices in using social media for other advisors and compliance officers.
- Key elements to remaining safe and compliant with regulators.
- Strategies and tools for saving time with a unified approach to social media.
- Biggest mistakes when going social.
Who should attend:
- Compliance Professionals
- Financial advisors and marketing leaders such as: CMO, Digital marketing heads, content/communications.
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How To Select ETFs & Why It Matters
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Complimentary Webinar
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ETFs have changed how investors approach the market and they now comprise more than 25% of daily value traded in the U.S. But with nearly 1,500 ETFs to choose from, how can you be sure you're picking the best funds for your clients?
FA Magazine invites you to join IndexUniverse, the No. 1 independent information provider on ETFs, in a live Webinar on June 27 at 2:00 p.m. EDT. In this 60-minute Webinar, IndexUniverse's Dave Nadig, president of ETF Analytics, and Matt Hougan, global head of content, will show you how to navigate the increasingly complex landscape of ETFs so you can take advantage of their key benefits--without surprises.
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Naked Retirement
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Change the way clients think about and plan for retirement by providing a crucial step to the financial planning process that is often never addressed and can cause new retirees to feel lost and unfulfilled during their first days, weeks, and even years of retirement.
Take a step beyond the traditional dollars and cents and help clients and prospects alike plan for everyday life in retirement including how to:
- Replace their work identity
- Fill their time with meaningful tasks and projects
- Stay connected to family and friends still working
- Remain mentally and physically sharp
Too many people start their first day of retirement with only a financial plan to guide them. Solidify your relationship and value proposition by helping clients get proactive about the next phase of their life.
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