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What really deters women from staying in the financial advice profession

November 20, 2017

Over the past few years I've had the pleasure of speaking at a few universities that boast some of the top certified financial planner programs in the country. What always surprises me is that the room is usually split pretty evenly among men...

Many women have had to work extra hard to earn credibility in financial services

November 20, 2017

Leaders in the financial services industry and state government were virtually all men when I began my career over four decades ago. As I reflect on my career, I recognize several lessons I had to learn to smash through certain barriers. Some...

Women can help themselves and other women in financial advice

November 20, 2017

No question, there is a need for more women in the financial adviser field, given their distinctive capabilities and the changing client demographics. And change in the industry is definitely underway. Yet many firms still haven't achieved a...

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%...

Schwab study: Firms want people skills more than analytical prowess

November 15, 2017

For entry-level employees at advisory firms, the human touch is much more important than number-crunching skills, according to this year's Schwab Independent Advisor Outlook Study, whose findings were released this week in tandem with the annual...

LPL's recruiting of top advisers falls for third straight quarter

November 15, 2017

Recruiting large advisers, individuals or groups with more than $100 million or greater in assets has fallen off a cliff this year at LPL Financial. According to data publicly reported by the company, LPL has seen a sharp decline each quarter...

RBC Wealth Management on recruiting roll

November 14, 2017

RBC Wealth Management is on a recruiting tear in 2017, as its recruiting bonus remains one of the most attractive on Wall Street, according to industry sources. According to data compiled by InvestmentNews, RBC Wealth Management successfully...

Firms explore ways to bolster the number of female financial advisers

November 14, 2017

Boosting the number of women in the financial advice business to a level that more equally represents the population may require firms make changes related to hiring, compensation, training and other areas. It also will require getting more...

Philip Palaveev on how firms should be recruiting young talent

November 7, 2017

There's a lot more to succession planning than just hiring younger advisers, but some registered investment advisers aren't even doing that part right. Philip Palaveev, founder and chief executive of The Ensemble Practice, describes why it's...

Finra: Morgan Stanley must pay Schwab $1.2 million over broker recruiting violation

November 3, 2017

A Finra arbitration panel awarded $1.2 million to Charles Schwab & Co. Inc. in a case against Morgan Stanley Smith Barney involving the recruitment of a Schwab broker. In a Nov. 2 award, the arbitrators found that Morgan Stanley violated the...

Two more NPH firms spurn LPL, affiliate with Woodbury Financial

November 1, 2017

Two firms affiliated with National Planning Holdings have changed their affiliation to Woodbury Financial Services, a unit of the Advisor Group. The Tenacity Advisory Group, a 52-adviser Super OSJ managing $2 billion in assets, has changed its...

Morgan Stanley is waving the white flag on recruiting

October 31, 2017

Morgan Stanley announced on Monday that it is leaving the Protocol for Broker Recruiting. This should not surprise anybody who has been paying attention for the last year. Almost exactly a year ago, Morgan Stanley cut its recruiting deals in...

Morgan Stanley dumps broker recruiting protocol

October 30, 2017

Morgan Stanley's decision to leave an industry agreement known as the protocol for broker recruiting is an indication that the firm is working harder than ever to prevent its brokers from jumping ship, industry sources said. One reason for that...

Blaming the DOL fiduciary rule, LPL sees recruiting stall for second straight quarter

October 26, 2017

For the second consecutive quarter, recruiting stalled at LPL Financial, typically an industry powerhouse when it comes to hiring new advisers. In its third-quarter earnings release issued Thursday, parent company LPL Financial Holdings Inc....

Ameriprise attracts 88 advisers in third quarter

October 25, 2017

Eighty-eight advisers joined Ameriprise Financial Inc. from other firms in the third quarter, in addition to 215 who joined the firm as part of the acquisition of Investment Professionals Inc., Ameriprise said in announcing its third-quarter...

Six-rep team managing $369 million at Wells Fargo joins Ameriprise

October 23, 2017

A six-broker group led by David Neihart and managing $369 million in assets has moved from Wells Fargo to Ameriprise. The team, which is based in Kansas City, Kan., was with the employee channel of Wells Fargo and shifted to the Ameriprise employee...

LPL loses $1.3 billion super OSJ to Securities America

October 19, 2017

Priority Financial Group, a hybrid super office of supervisory jurisdiction (OSJ) managing $1.35 billion in brokerage and advisory assets, has switched affiliation from LPL Financial to Securities America. Based in Peoria, Ariz., Priority serves...

SunTrust group managing $540 million moves to Raymond James ​

October 18, 2017

A group that managed $540 million in assets at SunTrust Investment Services in Georgia has joined the Raymond James employee unit. The group consists of two brokers and five staffers, and will operate from offices in Savannah, Sea Island and...

In a turnaround, Wells Fargo Advisors sees slight bump in headcount

October 13, 2017

Wells Fargo Advisors has staunched the hemorrhaging of financial advisers — for now, at least — that has plagued it since last year when its parent, Wells Fargo & Co., revealed a widespread banking scandal that affected its retail customers....

Fidelity has 'real need' to recruit more women, Johnson says

September 27, 2017

For people well-schooled in the relationship between supply and demand, here's one Fidelity Investments may not have seen coming: The demand for female financial advisers outstrips the supply. Women customers often ask to work with female advisers,...

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