Results for "careers"

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Advisers on the Move: Latest trends in recruiting

May 20, 2019

Daily adviser move activity Net gains/losses in adviser headcount by channel, 2019 year-to-date Top 5 moves of the week Name of adviser(s) AUM Firm leaving Firm joining Transition Date Taylor Browman, Tyler Weaver $240,000,000 Wells Fargo Clearing...

Pershing COO Lori Hardwick leaving firm

February 1, 2017

Lori Hardwick, the chief operating officer of Pershing, is leaving the firm to pursue other opportunities, according to a company spokesman. A leading clearing firm for independent broker-dealers, Pershing told its clients about Ms. Hardwick's...

CFP Board center announces mentorship program for women

June 2, 2016

Women studying to be certified financial planners will now be able to work with a mentor provided by the Certified Financial Planner Board of Standards' Center for Financial Planning. Under a program called WIN-to-WIN, the center plans to address...

When it comes to diversity and inclusion, strategies are better than intentions

March 16, 2019

As the investment management and financial advisory industry seeks to attract and retain a more diverse mix of talent, a consensus has emerged on the importance of early engagement, pipeline building, mentoring and development of contemporary...

What advisers can do to help older clients start a new business

February 23, 2019

Middle-aged clients who lose a job often turn to some form of entrepreneurship as the next phase of their career. Data suggests that entrepreneurship among individuals over age 50 is growing. Three in 10 entrepreneurs are over 50, which is an...

New iPhone can end the days of carrying around two phones

September 13, 2018

Apple introduced the world to three new iPhones and a new Apple Watch on Wednesday, focusing on evolutionary upgrades — a faster processor, better camera, crisper screen and longer battery life. But more than revolutionary new features, one...

Unleashing my power with Tony Robbins

October 15, 2018

As an entrepreneur and financial adviser, I have always invested in my education by attending numerous conferences, reading books that promise the magic formula for success, hiring coaches to discover what's holding me back, and working longer...

Finra bars two brokers, including one with nearly 40 years in the industry

September 5, 2018

The Financial Industry Regulatory Authority Inc. has barred two veteran brokers, one of whom was in the securities industry for nearly 40 years. ​ Stephen T. Hurtuk worked as a broker for 39 years, the last 10 of which he spent at Stifel Nicolaus...

Real life fearless girl at the New York Stock Exchange

October 17, 2018

Lauren Simmons is not your average trader. When she first got onto the trading floor at the New York Stock Exchange last year, the 24-year-old Georgia native expected to see a few women out there with her. She soon discovered she was not only...

Designations matter to your clients

July 21, 2018

It is not uncommon these days to hear certain corners of the financial advice industry tout their fiduciary status as a major appeal among clients and potential clients. But the truth is, most consumers and many current clients are still finding...

From the C-suite with Wealth Consulting Group's Jimmy Lee: Looking for diversity, screening for attitude

October 31, 2018

Diversity and inclusion are baked in to the culture of Wealth Consulting Group, where the importance of diverse opinions and thoughts starts at the top. The advisory firm has long had a focus on hiring staff who are diverse across race, gender...

Financial advisers need steady learning to keep earning

April 26, 2018

It's time for financial professionals to become a profession in substance, not just in name. The Securities and Exchange Commission proposed new rules for brokers and financial advisers last week. Observers have understandably focused on the...

Don't fear women. It's bad for them and bad for business

December 7, 2018

Are men really becoming afraid of women? That's the upshot of a recent Bloomberg story about fallout from the #MeToo movement. The story described how some men on Wall Street and across financial services are avoiding women for fear that their...

Shundrawn Thomas to succeed Stephen Potter as president of Northern Trust AM

July 19, 2017

Shundrawn A. Thomas, currently executive vice president and head of funds and managed accounts group at Northern Trust Asset Management, will succeed Stephen N. Potter as president on Oct. 1, spokesman Doug Holt said in an email. Mr. Potter...

From collecting autographs to advising LGBTs ​

June 5, 2018

David Rae developed a keen awareness of money when his father, NFL backup quarterback Mike Rae, retired from football. Growing up, the younger Mr. Rae, now 39 and founder and president of DRM Wealth Management, knew his family was always navigating...

More advisory firms develop bench strength as competition for heavy hitters intensifies

December 11, 2017

Building a top-performing team is one of the biggest challenges facing leaders in any field. As increased competition for top talent continues to grow, compensation is outpacing the rate of revenue growth. This makes human capital management...

Lynn Tilton loses dispute over her removal from board seats

December 1, 2017

Patriarch Partners Chief Executive Officer Lynn Tilton lost a challenge to her removal by Zohar investment funds from the boards of some portfolio companies she claimed to control. Tilton improperly granted herself permanent control over board...

One place where the women wealth equation doesn't add up

November 20, 2017

The power of the purse is enormous and growing. Women control nearly 60% of the wealth in the United States, represent nearly half of American millionaires and are expected to control two-thirds of the nation's wealth by 2030. The only part...

Adviser Olympians offer financial tips to athletes competing in Rio and beyond

August 5, 2016

Former Olympic athletes who are now financial advisers encourage America's 554 competitors at this summer's games to enjoy their time in Rio de Janeiro, but also keep in mind their future wealth prospects. Medal winners in certain popular sports...

Show employees your commitment to diversity and inclusion from day one

December 15, 2018

Truly diverse companies emerge from the inside out. Corporations such as Comcast, Marriott Hotels and Coca-Cola are fostering communities of professionals from all backgrounds. While no strategy is ever a one-size-fits-all approach, diversity...

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