Women Adviser Summit speaker Shannon Spotswood of RFG Advisory says the pace of change in the advisory business 'has been put on steroids' and explains how to future-proof your business.
The change puts pressure on firms' compliance operations, experts say. Facilitating the ability of SEC staff to issue subpoenas and take testimony is expected to make enforcement more agile and effective.
Are you prepared to attract, serve and retain the next generation of clients?
As an industry, we’ve probably made business planning more complex than it needs to be. Keep it simple; it’s better to write something down than nothing, and there’s no need to put everything down.
It's the second round of announced layoffs after last year's mega merger. In October, Schwab said it was laying off 1,000 employees, or about 3% of the combined workforce.
The group of five advisers, which was with J.P. Morgan for nine years, will join UBS' Century City office in Los Angeles.
Mission Financial Group in Hawaii will retain its B-D affiliations through First Allied.
A year of remote work appeared to accelerate the trend of advisers going independent for more control over their business, and in many cases, opportunities for higher take-home pay. Independent broker-dealers also saw a year of positive gains, though on net the channel was down from 2019.
Ellevest CEO Sallie Krawcheck goes beyond investment management and traditional financial planning to help female clients be strategic about career paths, salary negotiations and other topics that provide real value.
Betting that conditions will improve and restrictions be lessened in coming months, a sprinkling of fintech companies and others in and around the financial advice business have announced a resumption of live conferences to be held later in the year.
The individuals and firms highlighted in this issue represent the efforts being made to improve service to all clients across the advice spectrum. That description fits this year’s Icon, Sallie Krawcheck, perfectly.
As society becomes less racially and ethnically homogenous, leaders must develop new skills to support their diverse workforce. This includes acting as mentor, visionary and ally combined
Scarlett Abraham Clarke says high-level diversity and inclusion role is key to driving organizational change.
I will outline three leadership principles and associated tactics that increase diverse representation, expand equity and enhance inclusion.
LPL Financial said it will likely surpass its target to bring aboard Waddell & Reed advisers, according to CEO Dan Arnold. The company reported adviser headcount was 17,287, up 119 from the end of September and 823 year-over-year.
With naming rights to the stadium in Tampa Bay, Raymond James and its 8,000 advisers will particularly enjoy the Super Bowl this Sunday.
It’s important to form a pipeline so that younger minorities can be aware of the finance industry’s prospects and become educated on money matters and career opportunities within the finance industry.
Females in leadership work. But,with women making up less than 20% of global leadership teams, there is a clear case for more action to bolster women in leadership in corporate America. If a woman can run a country, why not a Fortune 500 company?
The SEC has awarded more than $738 million to 134 whistleblowers since 2012. But becoming a tipster could involve sacrifices.
The former CEO of Washington Financial Group succeeds the late David Reich in the role of national president of Hub Retirement and Private Wealth.
