Financial Advisor Marketing

Now,Insurance Agents (IRDA license holders), AMFI license holders, Chartered Accountants, Sales Tax Cunsultants, Banks, Share brokers,Financial product Marketing Agencies and Others are doing the role of Financial Advisors. Who conducted the courses of Certified Financial Planner or Chartered Financial Practioner ? Is a financial practioner need SEBI registration ?
I wish the answers fron INDIA.
I wish the answers from INDIA.

In what jurisdiction? This question is specific to national and state or provincial laws.

2007-12-13 00:02:51 by Bindu Antony

www.next10clients.com - Certified Financial Planner Kristin Harad details why it is vital for financial planners to develop a niche marketing ...

Can a Financial Advisor or Stockbroker get bonded? I currently have E&O insurance through my firm, but it will only cover so much. Would it be a good idea to have myself bonded? In this market and in this financial environment clients and individuals are quite nervous, and it can be a financial nightmare if a client comes after you for compensation of losses or possibly suing you. Would it be a good idea to protect myself as an individual and have myself bonded? Is it even possible to have myself bonded? Any feedback would be greatly appreciated. Thank you.

yes but would the cost off set the risk -- you will have to talk to an agent to find out!!!

2008-10-23 08:12:40 by Jason M

Price: $9.99

I have money invested in a series of mutual funds through a financial advisor. Every so often, based on market performance, he will sell the funds that aren't doing well, and re-invest the money in more profitable funds. My question is, when the old funds are sold, does this count as "income" that should be reported to the IRS? I'm a bit confused on the issue.

If its not in a tax-sheltered account, such as an IRA, your capital gains are taxed either as short or long term. It doesnt matter if its reinvested the same day in something else, six months from now or a year from now. You owe taxes on the sale. And it doesnt matter if the money stays in your account with your broker or you take possession of it. You owe taxes on the sale, if its not in a tax-sheltered account.

2007-05-21 19:34:38 by mike2513ct

Price: $44.95

I do not have a background in business or finance. But i do hold a ba degree. Would this be a wise career choice? What qualities does a financial firm look for? I was approached by their marketing dir. and they wanted me to come in for an interview.

A financial adviser is a professional who renders investment advice and financial planning services to individuals and businesses. Ideally, the financial adviser helps the client maximize their net worth by proper asset allocation.
It is the financial adviser's duty to determine the clients' goals and risk tolerance and then to recommend appropriate investments. The longer time horizon to achieve the goal, the more the adviser would be able recommend more volatile investments with potentially greater risks and rewards. Such investments include direct investment in stocks/shares or through collective investment schemes such as mutual funds, unit trusts or investment trusts
Please keep in mind the above objectives, find out the the financial requirements of the company and please answer questions based on the above parameters.
You can tell them that you can offer your suggestions only when you have a full financial picture of the company vis-a-vis their requirements !

2008-02-01 18:03:13 by DL400

I know it's 2 questions- but I am looking for a good financial advisor and I've always chosen based on word of mouth- never asked to see any performance...Now I think I need to take more control because my current guy has been drastically trending down over the last 5 years I've worked with him....Also, is this a good time hearing that the markets are plunging, to buy the expensive stocks?

How long has the financial advisor been in business? What training did he have when he got into that field? Credentials? Does he simply sell what his head office is pushing? What are his rates? Does he charge commission on each buy and each sell or does he charge an annual consulting fee? (Important if you do a lot of trades) Does he convince you to buy and sell (so that he earns more commission) Does he look at your entire portfolio and keep you diversified in bonds, gics, stocks, mutual funds, etc?
Is your risk level at your comfort level?

2008-01-21 12:32:34 by Sara B.