Results for "careers"

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Focus on these steps for boosting D&I in advice industry

September 10, 2019

"Don't compare yourself, be yourself." This is the number one thing I tell the diverse financial advisers I meet and mentor at Edward Jones. In other words, "run your own race." The financial services industry is more diverse than ever before,...

XY Planning Network firms wonder if group can support them long term

September 16, 2019

The five-year-old XY Planning Network is looking to deepen its relationships with financial advice firm members that question the network's value long term. During a question-and-answer session last week with XYPN co-founders Michael Kitces...

All it takes is a vision

August 19, 2019

When I arrived in New York City, 23 years ago, little did I know that I would have the privilege of overseeing a brand like InvestmentNews for so long. I started out in sales, working at Crain Communications on Pensions & Investments, InvestmentNews'...

Fintechs provide software to financial planning programs to grow future business

August 29, 2019

Financial technology vendors are using college financial planning programs to help increase adoption of their tools throughout the advice industry. RightCapital, an up-and-coming financial planning software, now has professors at 20 different...

Succession planning where the adviser keeps working?

August 6, 2019

We financial advisers are not a young group. In fact, with an average age of 49, we're part of one of the oldest workforces of any profession. With so many principals nearing retirement, more's being written about succession planning: Simply,...

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...

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...

Edelman Financial Engines losing COO John Bunch

July 11, 2019

Edelman Financial Engines chief operating officer John Bunch is leaving the firm — and the financial services industry altogether, according to an update on his LinkedIn page. Mr. Bunch recently updated his social media profile to indicate...

Finra arbitrators award $1.8 million to former USAA brokers for wrongful termination

July 8, 2019

Finra arbitrators awarded $1.8 million to brokers who claimed they were wrongfully fired by USAA Financial Advisors. Christopher R. Johnson and Lee Anne Przybyla were dismissed by USAA in April 2017 for allegedly seeking compensation to which...

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...

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 David Burchfield $274,000,000 Charles Schwab Robert W. Baird...

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...

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...

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...

Digital recruiting platform aims to help advisers identify job opportunities

January 29, 2019

A new digital platform is seeking to give financial advisers more control over finding jobs and making career transitions than offered through traditional adviser recruitment, a business that is plagued by bad actors and secret alliances, according...

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...

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...

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...

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...

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