Results for "careers"

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How to get women to feel comfortable about building wealth

March 14, 2018

While last year's Women to Watch think tank focused on how firms could attract more female advisers, this year's session featured a discussion on how to improve financial literacy among women, starting at an early age. The goal was to identify...

New RIAs are happier and prospering, says Schwab study

March 13, 2018

Registered representatives who recently jumped ship from a brokerage firm and dived into the RIA registered investment adviser channel are happier and doing better financially than they were at their old firms, a new study from Schwab finds....

Encourage diverse individuals to be leaders

February 15, 2018

Earlier this year, I challenged a room full of female financial advisers to consider stepping up into a leadership role. If ever the idea of leading crossed their minds, or if they were the least bit curious, I encouraged them to talk to me...

Advisers working with their Valentines

February 13, 2018

Anyone who has ever been in a romantic relationship can probably attest to a host of benefits, challenges, pros and cons. Add to that the reality of working together and suddenly every day is Valentine's Day — or not. Dave Yeske, managing...

On a mission to motivate Latinos to save and prosper

February 6, 2018

Louis Barajas grew up in Boyle Heights in East Los Angeles, a neighborhood once known as a "murder capital," where his father started a business in 1971. Since he spoke limited English, he asked Louis, then 13, to help him file his taxes, and...

Pershing COO Lori Hardwick leaving firm

February 1, 2017

Lori Hardwick, the chief operating officer of Pershing, is leaving the firm to pursue other opportunities, according to a company spokesman. A leading clearing firm for independent broker-dealers, Pershing told its clients about Ms. Hardwick's...

CFP Board center announces mentorship program for women

June 2, 2016

Women studying to be certified financial planners will now be able to work with a mentor provided by the Certified Financial Planner Board of Standards' Center for Financial Planning. Under a program called WIN-to-WIN, the center plans to address...

Finra arbitrators award $878,712 to broker wrongfully terminated by Ameriprise

January 24, 2018

Finra arbitrators awarded $878,712 to a broker who they found was wrongfully fired by Ameriprise Financial Services Inc., but the victor will continue to serve a Finra suspension over a related investigation until April. The Financial Industry...

Lynn Tilton loses dispute over her removal from board seats

December 1, 2017

Patriarch Partners Chief Executive Officer Lynn Tilton lost a challenge to her removal by Zohar investment funds from the boards of some portfolio companies she claimed to control. Tilton improperly granted herself permanent control over board...

More advisory firms develop bench strength as competition for heavy hitters intensifies

December 11, 2017

Building a top-performing team is one of the biggest challenges facing leaders in any field. As increased competition for top talent continues to grow, compensation is outpacing the rate of revenue growth. This makes human capital management...

Deena Katz on the key to the profession's future

November 18, 2017

Remember when you first started in this industry? Someone said or did something that sparked you to embark on this career? I remember that moment distinctly. A friend and I were sitting around one afternoon and he was reading Money magazine....

Pershing's Lisa Dolly asks one key question to judge a job candidate

November 18, 2017

In 1988, when Lisa Dolly was hired right out of college into Pershing's corporate trainee program, she felt the spotlight on her: She was a woman working in the financial services industry. Even after becoming CEO of that same firm last year,...

The mutual fund men's club needs more women

January 30, 2018

By now we know that having more women on leadership teams enhances businesses. We also know that women have qualities that make them good investors, such as their approach to risk. Why then are there still so few women money managers? The figures...

Wirehouse training programs are back

June 24, 2017

Since the financial crisis nearly 10 years ago, luring experienced brokers with big signing bonuses has been the preferred method of hiring at the major brokerages. Brokers loved it because the bonuses put hundreds of thousands of extra dollars...

Women don't need to be advisers to succeed in advice industry

November 20, 2017

Emotional intelligence is a core asset for any adviser, and one where women often excel. But serving as a financial adviser is not the only role in the advice industry where women can shine. Today, women are making an impact in a variety of...

Raymond James' indy arm recruits husband-and-wife adviser team in Houston

September 21, 2017

A husband-and-wife team of advisers that managed more than $170 million in client assets at Morgan Stanley in Houston have left to join Raymond James Financial Services Inc., the independent broker-dealer arm of Raymond James Financial Inc.,...

How does your advisory firm stack up?

October 18, 2017

With talent so hard to find and keep at advice firms, each practice should have a clear handle on how well it is – or isn't – compensating its brilliant workforce. The benchmarking data below show the greatest range of salaries occurs in...

Advice industry in hiring mode

October 14, 2017

As the largest independent advisory firms continue expanding, something unexpected has happened along the way. The typical professional at one of these firms is no longer "independent" in the sense that he or she is an owner of the business....

Shundrawn Thomas to succeed Stephen Potter as president of Northern Trust AM

July 19, 2017

Shundrawn A. Thomas, currently executive vice president and head of funds and managed accounts group at Northern Trust Asset Management, will succeed Stephen N. Potter as president on Oct. 1, spokesman Doug Holt said in an email. Mr. Potter...

Adviser recruiting may need new tack for women

November 20, 2017

Independent registered investment advisers may need to rethink how they are recruiting female advisers if they expect to continue growing over the long term. In "2016 U.S. Advisor Metrics," Cerulli Associates reported that women make up 16%...

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