Planning and Advice

Planning not portfolios should come first

When she started in the profession in 1981, a securities licence wasn’t in Kathleen Clough’s sights. The PWL Capital wealth manager, who counts a CFP and RFP among her designations, originally went to work for a firm that did high-level financial planning for senior executives. And, until seven years ago, she focused solely on non-transactional […]

By Philip Porado |April 1, 2010

3 min read

Planning and Advice

Making the Switch to IIROC

When Matthew Paradis wanted to expand his business last year, there was only one option he and his partner considered – join an IIROC dealer and leave their MFDA days behind. The Orleans, Ont.-based advisor, who’s been working with mutual funds for six years, said the decision to switch self-regulatory organizations was an easy one. […]

By Bryan Borzykowski |April 1, 2010

8 min read

Planning and Advice

Charting a course to IIROC

Reams of paper. Thousands of “sign here” stickies. A fully stocked drawer of pens. A generous supply of office supplies isn’t all you’ll need to make the switch from the Mutual Fund Dealers Association of Canada (MFDA) platform to the Investment Industry Regulatory Organization of Canada (IIROC) platform. But it is absolutely essential. Advisors who’ve […]

By Alison MacAlpine |April 1, 2010

10 min read

Planning and Advice

FaceOff: IIROC vs. MFDA

To IIROC or not to IIROC? We put the question to three successful advisors with three very different approaches, and got some great answers. YES Bruce Vaillancourt, CFP, CSA, Senior Financial Advisor, Vaillancourt Wealth Management/Manulife Securities Inc. Bruce Vaillancourt was an MFDA advisor before he moved to IIROC. In the first year after his move, […]

By Kanupriya Vashisht |April 1, 2010

13 min read

Character not a licence make an advisor

What does an advisor really need to do business these days? Canadian advisors have the luxury of choosing the route that places them across the table from clients. They can opt for a full securities registration through the Investments Industry Regulatory Organization of Canada, take a mutual funds licence from the Mutual Fund Dealers Association, […]

3 min read

Debt survey says: WAKE UP!!!

Last month I received an email from Steven Lamb of Advisor.ca asking if I’d make a few comments on a survey conducted by RBC. You may have read the article based on the findings of that research. I love interesting findings. Especially surveys that discover curious patterns about what we and our clients think will […]

|March 23, 2010

4 min read

Tying the Knot: Growth by merger

Meet for coffee, date, get hitched. The milestones of a successful personal relationship can also be applied to the merger of a business. As a lucky participant in a so-far successful merger of two financial planning practices, here’s what else I’ve learned: Know these things before you sit down to negotiate your partnership, otherwise you […]

2 min read

Shaping your brand

It’s proven that marketing is a leading indicator of success in terms of asset gathering, which in turn leads to increased revenue. And I truly believe marketing is particularly important (and potentially easier) during uncertain markets, when investors are skittish about heavy-handed sales techniques and investing in general. The one mistake I made years ago […]

7 min read

Shaping your brand

7 min read

Shaping your brand

7 min read