Practice Management

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Four bank advisers managing $678 million affiliate with Raymond James
INDEPENDENT BROKER DEALERS OCT 02, 2020
Four bank advisers managing $678 million affiliate with Raymond James

Scott Southerland, Jeff Cox, Mark Whitley and Josh Holby move to Pinnacle

By InvestmentNews
Ann Senne – Head of Advice & Solutions, RBC Wealth Management
PRACTICE MANAGEMENT OCT 02, 2020
Ann Senne – Head of Advice & Solutions, RBC Wealth Management

In the latest episode of the Her Success Matters podcast, Christine Shaw interviews Ann Senne, one of the 2020 InvestmentNews Women to Watch, about economic and gender diversity in financial services

By InvestmentNews
Merrill's army of newbies to resume cold-calling
PRACTICE MANAGEMENT OCT 01, 2020
Merrill's army of newbies to resume cold-calling

Merrill Lynch is making changes in the way it manages young advisers and trainees

By Bruce Kelly
FPA names Dennis J. Moore 2021 president-elect
RIA NEWS OCT 01, 2020
FPA names Dennis J. Moore 2021 president-elect

Moore, chief operating officer for Dallas-based Quest Capital Management, is currently completing a three-year term on FPA's board

By InvestmentNews
Dana D’Auria joins Envestnet as co-CIO
FINTECH SEP 30, 2020
Dana D’Auria joins Envestnet as co-CIO

Former Symmetry Partners executive will share the role with Brandon Thomas

By InvestmentNews
3 keys to integrating ESG into client portfolios
OPINION SEP 30, 2020
3 keys to integrating ESG into client portfolios

As the potential benefits of sustainable investing become clearer, advisers have an opportunity to add value through education and guidance

By Brie Williams
Introducing the 2020 Women to Watch
PRACTICE MANAGEMENT SEP 29, 2020
Introducing the 2020 Women to Watch

Meet 23 female leaders advancing the financial advice business

By InvestmentNews
Hybrid joins LPL from Advisor Group
INDEPENDENT BROKER DEALERS SEP 29, 2020
Hybrid joins LPL from Advisor Group

Family-run Hendrix Group Financial Services is based in Birmingham, Alabama, and had been affiliated with Securities Service Network

By InvestmentNews
SEC charges RIA with making false statements about its finances
RIA NEWS SEP 29, 2020
SEC charges RIA with making false statements about its finances

Marietta, Georgia-based Lindner Capital Advisors and its principal were also charged with compliance deficiencies

By InvestmentNews
Another financial pro fired after racist insult
LIFE INSURANCE AND ANNUITIES SEP 29, 2020
Another financial pro fired after racist insult

Prudential cuts rep after he allegedly tells a Korean-American social media star to "go back to Wuhan" at a California restaurant

By Bruce Kelly
Financial services exodus from high-tax locales gains steam
PRACTICE MANAGEMENT SEP 28, 2020
Financial services exodus from high-tax locales gains steam

The lockdown has shown firms that they're not tied to one location

By Jeff Benjamin
Struggling with organic growth? Go back to the basics
OPINION SEP 28, 2020
Struggling with organic growth? Go back to the basics

The advisers doing best right now are those who execute the little things

By Ron Carson
MacKay Shields names Janelle Woodward president
PRACTICE MANAGEMENT SEP 28, 2020
MacKay Shields names Janelle Woodward president

Woodward joins from BMO Global and succeeds retiring president Lucille Protas

By Jeff Benjamin
‘I’m getting lit up on TikTok!’ A candid conversation with Josh Brown
PRACTICE MANAGEMENT SEP 26, 2020
‘I’m getting lit up on TikTok!’ A candid conversation with Josh Brown

The Reformed Broker talks about his latest book and why he’s no longer a fan of Twitter

By InvestmentNews
Adviser recognized for 25 years of dedicated support for students
PRACTICE MANAGEMENT SEP 25, 2020
Adviser recognized for 25 years of dedicated support for students

Invest in Others Charitable Foundation named Lynn Chen-Zhang of Zhang Financial its 2020 Lifetime Achievement award winner

By InvestmentNews Staff
Diversity is a 'need to have': Eric Tepper, CEO of Chase wealth management
PRACTICE MANAGEMENT SEP 25, 2020
Diversity is a 'need to have': Eric Tepper, CEO of Chase wealth management

Tepper talks strategy behind four new hires and moving the needle on diversity within his organization

By Nicole Casperson
Adviser wins award for combating human trafficking
PRACTICE MANAGEMENT SEP 24, 2020
Adviser wins award for combating human trafficking

Invest in Others announced Brian Robinson of UBS Financial Services as a 2020 award winner

By InvestmentNews Staff
Complying with state senior reporting statutes
OPINION SEP 24, 2020
Complying with state senior reporting statutes

Firms must consider the interplay between different reporting laws in each state to maximize their immunity

By Andrew Mount
Adviser recognized for helping Haitian children
PRACTICE MANAGEMENT SEP 23, 2020
Adviser recognized for helping Haitian children

Invest in Others named Michael J. Martin of ELM Wealth Management at Raymond James as winner of a 2020 award

By InvestmentNews Staff
State regulators flexed enforcement muscle in 2019
PRACTICE MANAGEMENT SEP 23, 2020
State regulators flexed enforcement muscle in 2019

The NASAA report shows last year produced the most actions taken and money returned to investors in five years

By Mark Schoeff Jr.