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.
Fiduciary advocates are pressing the Securities and Exchange Commission to overhaul the measure. FSI and other industry groups will lobby to keep it intact.
The practice in Dallas includes four advisers and three support staff.
Have systems in place so that clients experience a personal connection on a regular basis. This includes reminders to call or email them simply to touch base and let them know you’re thinking of them.
The broker-dealer self-regulator cited a surge of new retail investors entering the markets via online platforms, which has led to a spike in more sophisticated kinds of trading, such as options.
The Certified Financial Planner Board established a 15-member commission to review and recommend changes to its sanction guidelines for current mark holders as well as its fitness standards for candidates for certification.
To help your clients make sound long-term decisions they can live and thrive with, work with them to think through options that will harmonize their financial and emotional lives.
Michael Topinka, Carl Boomhower and Daniel Tyburski set up shop in Wayne, New Jersey, as Topinka Financial.
While users of the trading platforms claim in court filings that they suffered losses from the restrictions, legal experts say brokerages have broad powers to block or restrict transactions — all of which is spelled out as part of customer agreements everyone signs to gain access to the services.
COVID-19 and increased competition slowed down recruiting in 2020, according to CEO Paul Reilly. Now, the firm is beefing up compensation to advisers who are employees.
Brendan Biruk and Dan Rattigan form Washington Crossing Financial Group in Washington Crossing, Pennsylvania.
Some companies are prepping for in-person events slated for the second half of 2021. The industry is hoping to meet face-to-face again as COVID-19 vaccines are being distributed across the country.
Marc Rowan, one of Black’s top lieutenants, will succeed him as CEO as part of a governance overhaul that will also eliminate weighted voting rights.
There is an art to prospecting, and a formula that helps close prospects in the first meeting.
The loan program was aimed at buoying businesses with less than 500 employees; while National Securities surpassed that number of reps and advisers, those were not employees, but rather independent contractors.
Scott Phelan, Kevin Myers and an assistant switch firms in Atlanta.
