Results for "careers"

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Sallie Krawcheck wants women to take control of their money

June 21, 2018

Not even Sallie Krawcheck believed in a digital investment firm for women when she was told she should start one. She thought it was too condescending to women, and didn't believe they needed one. "Then I sort of had this insight, which was,...

New Jersey native will try to start his financial advisory career in the South

June 4, 2018

Ryan Muscatella, who graduated magna cum laude from Virgina Tech's financial planning program, has decided to stay in the South rather than go back to his native New Jersey to begin his career. Mr. Muscatella has accepted a job at Washington...

United Capital's new CIO has had an 'unlikely' career path

June 13, 2018

Kara Murphy has packed her belongings and shipped them across the country to Dallas from New York for the next stage of a career that she still defines as "unlikely." Ms. Murphy, a 20-year veteran of the financial services industry, becomes...

From collecting autographs to advising LGBTs ​

June 5, 2018

David Rae developed a keen awareness of money when his father, NFL backup quarterback Mike Rae, retired from football. Growing up, the younger Mr. Rae, now 39 and founder and president of DRM Wealth Management, knew his family was always navigating...

Teamwork makes the dream work at Pimco

June 5, 2018

The sun hasn't yet lit up the California sky when Daniel Ivascyn and Emmanuel "Manny" Roman join each other at side-by-side desks on the 20th-floor trading room of Pacific Investment Management Co. From their aerie overlooking a luxury shopping...

Financial advisers need steady learning to keep earning

April 26, 2018

It's time for financial professionals to become a profession in substance, not just in name. The Securities and Exchange Commission proposed new rules for brokers and financial advisers last week. Observers have understandably focused on the...

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...

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...

Why your top producers aren't happy

April 26, 2018

The J.D. Power 2017 Advisor Satisfaction Study contains a counterintuitive finding: There's an inverse correlation between top advisers and their overall satisfaction: "Higher producers are the least satisfied employees," according to the report....

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...

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...

One place where the women wealth equation doesn't add up

November 20, 2017

The power of the purse is enormous and growing. Women control nearly 60% of the wealth in the United States, represent nearly half of American millionaires and are expected to control two-thirds of the nation's wealth by 2030. The only part...

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...

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....

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...

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....

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...

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.,...

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