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How financial services firms can help employee caregivers

December 7, 2018

Financial services firms are in the business of caring for customers — resolving issues, addressing multiple needs and providing a high-touch experience. But some of that care and concern should be directed to our own employees, many of whom...

Are you serious, Wall Street? A response to the #MeToo 'advice' of men

December 5, 2018

This open letter is a response to a Bloomberg article​ InvestmentNews ran Tuesday about some male Wall Street executives whose concerns about #MeToo accusations have led them to limit the ways in which they work with female colleagues, for...

Drive growth today and be positioned to thrive in future markets

November 29, 2018

Recent market volatility may have just done you a favor. It's a potent reminder that the bull market is long in the tooth. Hopefully, all of this volatility has you asking yourself: Is your business prepared not only to weather a prolonged market...

How to be a mentor

November 17, 2018

None of us got here completely on our own. We've all been fortunate enough to have someone along the way, be it a teacher, friend, family member or colleague, who pulled us out of our comfort zone, gave their time to raise us up and pushed us...

Wells Fargo cuts 1,000 jobs across the U.S.

November 15, 2018

Wells Fargo & Co. is cutting about 1,000 jobs across its consumer-lending and tech-payments units as part of a much larger workforce reduction announced earlier this year. Approximately 900 of the positions will come from the bank's home-lending...

Wells Fargo reportedly ends investigation of gender bias in wealth management unit

November 9, 2018

Wells Fargo's investigation into alleged gender bias within its wealth management division is reportedly over. When asked for confirmation of a report by The Wall Street Journal that the firm concluded its investigation, Wells Fargo spokeswoman...

Chief operating officers lift advisory firms to the next level

November 2, 2018

If you're not sure whether your advisory firm is ready to hire a chief operating officer, it probably is. While COOs are often dismissed as simply an added expense, adding one can be a key ingredient in helping a firm grow to the next level,...

Vanguard CEO Buckley to add role of chairman

November 1, 2018

The Vanguard Group announced that its CEO, Tim Buckley, will take on the additional role of chairman of the $5.3 trillion asset management company on Jan. 1. As chairman, he succeeds Bill McNabb. "Tim has been a strong, focused leader at Vanguard...

The future of new-adviser training is now

October 26, 2018

One of the issues I hear about frequently these days is how to train new advisers. Training takes up valuable time, and most advisers would agree that it's not their forte. Many tenured advisers learned how to function in this industry at a...

Wells Fargo places two executives on leave

October 25, 2018

Wells Fargo & Co. said its chief administrative officer and chief auditor will be placed on leave and removed from the bank's operating committee amid regulatory investigations into its sales practices. The leaves of absence for Hope Hardison...

How to recruit top financial advisers and staff

October 19, 2018

Recruiting new talent at advisory firms is taking on greater importance as the U.S. labor market tightens. The InvestmentNews Adviser Compensation and Staffing Study 2018 Update shows 8% of participant firms had an unfilled professional position...

LPL Retirement Partners hires new chief

October 8, 2018

LPL Financial has selected Bryan Hodgens to head up its retirement plan adviser unit, marking the second time in a little over a year that the nation's largest independent broker-dealer has seen a shake-up in the executive ranks at LPL Retirement...

Will Merrill Lynch leave the broker recruiting protocol?

September 25, 2018

Will Merrill Lynch leave the broker recruiting protocol? This is, by far, the question I have been asked most frequently during 2018. Let's examine the issues. In the fourth quarter of 2017, both UBS and Morgan Stanley departed the protocol,...

Wells Fargo plans to cut staff up to 10% within next three years

September 20, 2018

Wells Fargo & Co. plans to trim its workforce by about 5% to 10% within the next three years as CEO Tim Sloan works to pull the bank clear of a series of customer-abuse scandals and prop up a lagging stock price. The bank had 265,000 employees...

The struggle is real: Why our profession needs next-gen talent now

September 10, 2018

The ground is shifting beneath our feet. The problem is, we look down to see the ground cracking while remaining completely oblivious to what's overhead: A new atmosphere. A changed environment. An unrecognizable future. The financial services...

Are schools adequately preparing next-gen advisers?

September 1, 2018

Eric Schaefer's client was all ears when he laid out a new financial plan for him. Then the client's eagerness to implement the plan suddenly morphed into dejection. "I literally have no time to do any of this," the client said. Mr. Schaefer,...

Citigroup unveils plan to reverse its declining diversity

August 22, 2018

After years of scant progress on diversity measures, Citigroup Inc. has created hard targets for raising the percentages of women and African Americans in management positions by 2021, according to an internal memo from chief executive Michael...

Rob Arnott of Research Affiliates cedes CEO title

August 10, 2018

Rob Arnott, founder of smart beta and asset allocation manager Research Affiliates, is relinquishing his CEO duties but remains chairman of the firm, a company spokesman said. Katrina Sherrerd, president and chief operating officer, was named...

Networking plays a key role in helping women advisers advance

August 9, 2018

As our members know, the Financial Services Institute has been highly engaged for many years in the crucial mission of helping women begin and develop successful careers in the financial advice industry, both as advisers and home office executives....

5 actions underrepresented advisers can take to further their careers

August 4, 2018

For June's celebration of Pride Month, I was part of a valuable discussion about the intersection of LGBTQ and fintech. My fellow panelists and I celebrated Pride and gains in diversity and inclusion, and talked about how to be momentum-drivers,...

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