Results for "staffing / personnel"

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Ami Forte, broker at heart of $34 million Finra award, hired by Pinnacle Investments

March 13, 2018

A broker at the heart of a multimillion-dollar Finra arbitration award involving the founder of the Home Shopping Network was hired Tuesday by Pinnacle Investments to develop its operations in Florida. Ami Forte joined the broker-dealer and...

Three indies bring $719 million to Securities America

March 7, 2018

A Super Office of Supervisory Jurisdiction and two independent financial services firms, which collectively manage $719 million in assets, have affiliated with Securities America Inc. The three are the Gandet Group, of Manahawkin, N.J.; Vizionary...

Merrill Lynch rep managing $150 million moves to Raymond James

March 6, 2018

Phil Closuit, who managed more than $150 million in assets at Merrill Lynch in Boston, has jumped to the employee unit of Raymond James & Associates. Joining him in the move is Jane Fitzwilliam, a registered associate, who has worked with Mr....

The biggest obstacles to building a billion-dollar RIA

February 1, 2018

The goal for most advisers is to increase the size of the firm, both in assets under management and the number of employees. But as the late rapper Notorious B.I.G. once said, "Mo money, mo problems." The Alliance for Registered Investment Advisors,...

7 conferences taking advisers beyond financial services

September 11, 2017

When it comes to budgeting conference travel, financial advisers are increasingly thinking outside the box of the standard industry gatherings by venturing into areas that might seem way beyond the realm of financial services. Consider investing...

Making new employees part of the team

October 9, 2013

By Caleb Brown Once business owners make an investment in their organization to hire additional labor, it is in their best interest to ensure the new hire is integrated as quickly as possible. However, when incorporating a new employee into...


December 2, 2012

Rank Firm Total assets ($M) Total accounts Discretionary assets ($M) Discretionary accounts Nondiscretionary assets ($M) Nondiscretionary accounts Employees 1 Financial Engines Advisors LLC $47,500.0 616,834 $47,500.0 616,834 $0.0 0 350 2 Hall...

Highest paying jobs at advisory firms

October 3, 2017

Independent advice firms have been a great place to work the last two years. Salaries at these businesses increased across the board, and all but one professional position saw double-digit percent increases in 2017 compared to 2015, when InvestmentNews...

Presidential election sparks awareness of gender issues

November 21, 2016

As we all know, the presidential election of 2016 was the first time a female appeared on the ballot as a major-party candidate. After a particularly hard-fought campaign, Hillary Clinton said in her concession speech, “I know we still haven't...

5 shocking stats about diversity in financial advice

December 11, 2015

The financial advisory industry is predominantly white and includes fewer minority professionals than other areas of financial services, including financial analysis, accounting and tax preparation, according to U.S. Census data. To highlight...

Lessons from Duke's Coach K: 3 keys to leading an exceptional team

May 13, 2015

When Fidelity Investments scheduled Mike Krzyzewski, the men's basketball coach at Duke University and the U.S. national team, to give the keynote address at their executive summit earlier this year, I doubt they foresaw that Coach K would just...

Playing Words With Friends at work. OK or not?

May 4, 2015

I have a confession: Sometimes I play Words With Friends during work hours. It helps keep me awake during long, boring meetings and conference calls. I will also confess to being hypocritical: I don't like it when an employee of mine is playing...

3 ways financial advisers can get ahead in 2017

January 27, 2017

Everyone's familiar with the famous Isaac Newton quote, “If I have seen further, it is by standing on the shoulders of giants.” However, not many of us actually take his words as sound advice. Too many of us opt to rely on our own experiences...

Big 3 business catastrophes: How to cope with a shock to the system

October 30, 2014

Last Saturday morning, I was making a quick breakfast for my 6-year-old daughter prior to running out to coach her 8 a.m. soccer match. As we ran out the door, I noticed I had six text messages on my cell phone. They'd arrived at 2 in the morning...

OSJs: Add Value and Increase Rep Stickiness with Well-Planned Branch Events

March 1, 2017

To attract and retain top advisors, super branches need value-add services that differentiate them from other firms. Camaraderie and peer knowledge often top the list of reasons independent advisors decide to join a branch rather than operate...

J.P. Morgan adds six advisers with $1.2 billion

February 27, 2014

J.P. Morgan Securities in recent months has added six financial advisers who managed more than $1.2 billion. The firm, a division of JPMorgan Chase & Co. that serves ultrawealthy clients, nabbed advisers from Bank of America Merrill Lynch, Bernstein...

Reflections on the glass ceiling: Why haven't we broken through?

February 16, 2014

The term “glass ceiling” came into our lexicon 30 years ago. It is no surprise to me that this metaphor, which became synonymous with forces blocking women's rise to the top ranks of organizations, was coined by a woman. She was a seasoned...

Fired Wells Fargo broker barred by Finra

August 11, 2017

A former Wells Fargo adviser, who resigned from the firm in 2015 after allegations that she had made inaccurate statements on a "mortgage gift letter" she signed in connection with another broker's mortgage application, has been barred by Finra....

Merrill Lynch team managing $700M moves to HighTower

November 19, 2013

A team of Connecticut advisers who manage $700 million for clients has broken away from Merrill Lynch Wealth Management. The Andriole Group, based in Madison, is joining HighTower Advisors. Charles Andriole, the founder, is making the move along...

Elliot Weissbluth on management: Fire yourself every year

May 11, 2015

I was intrigued when Elliot Weissbluth, founder and CEO of fast growing $30 billion RIA HighTower, shared this idea on my recent podcast. “I really go through the process of terminating myself and then I rehire myself. I write in my journal...

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