Results for "staffing / personnel"

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CEO transition at First Command Financial Services

November 19, 2019

First Command Financial Services, a $29 billion hybrid firm with 500 advisers, is transitioning its executive-level leadership, with a new CEO starting Jan. 1. Mark Steffe, 50, the current president and chief operating officer, will take over...

Digital moneyball

November 12, 2019

Billy Beane of the Oakland A's was baseball's first digital leader. His 2002 team set the major league record for consecutive wins and took their divisional title — with a human player payroll one-third that of the top-paying teams. The league...

When will our industry grow up?

November 12, 2019

When will our industry grow up? This past week, I met an incredible young man who is just two years out of college. So far, he seems to have done all the right things, including studying finance, earning his certified financial planner designation...

Former TCA by ETrade exec lands as CEO of fast-growing RIA

November 8, 2019

Joshua Pace, the former president of the custodian business at TCA by ETrade, has landed a new gig as chief executive of Apella Capital, a Glastonbury, Conn.-based advisory firm with $1 billion under management and plans to grow through acquisitions....

Being mindful about retirement

November 8, 2019

I recently googled "Joni Youngwirth." Wow — what an experience. The results that came up took me through the history of my professional life, or at least the last 20 years of it. During that time, I probably authored more than 200 articles...

InvestmentNews announces new chief content officer

November 1, 2019

George Moriarty has been named chief content officer of InvestmentNews. Mr. Moriarty, currently vice president of content and editor-in-chief at Seeking Alpha, a web service that provides news and analysis on financial markets, succeeds outgoing...

Ken Fisher a flash point for industry's poor record addressing sexism

October 25, 2019

Ken Fisher's insulting, crude comments about sex and hitting on women made recently at an industry conference are far from remarkable. Mr. Fisher sounds like a typical blowhard at a cocktail party, trying to make a racy joke that falls flat...

Closing the retirement savings gap for employers and employees alike

October 24, 2019

In today's low unemployment rate environment, competition for top talent is fierce. So how can businesses owners compete to attract and retain quality talent? And how can financial advisers help them do this? Ultimately, the solution lies in...

Much expected of Charlie Scharf as he prepares to take helm of Wells Fargo

October 21, 2019

Wells Fargo & Co.'s long-awaited next leader, Charlie Scharf, is formally taking over Monday with a fairly straightforward mandate: Finish what three predecessors couldn't. [More:​ Makeover at Wells Fargo Advisors well-received] The bank's...

Saying goodbye to Jud Bergman

October 21, 2019

On Oct. 16, Jud Bergman was memorialized in his hometown of Chicago. He and his loving wife Mary lost their lives when their taxi was struck by an impaired driver on the Bay Bridge in San Francisco. Almost everybody in wealth management has...

Sell but stay, and watch your business grow

October 15, 2019

I spoke at a conference recently, and I couldn't help but notice the advanced ages of many of my peers. The fact is that our industry is full of advisers who are approaching retirement age. And, in speaking with them, I learned that a few have...

Growing your practice beyond you

October 14, 2019

Picture this — you're on a boat. The boat is sinking and you're trying to plug the leaks, but new holes keep popping up. At this point, you don't know whether you'll sink or float. This situation may sound all too familiar to advisers. When...

Advice industry reacts to Jud Bergman's death

October 4, 2019

News that Envestnet CEO Jud Bergman died in a car accident Thursday along with his wife, Mary Miller, shook the financial advice industry. As the leader of the largest turnkey asset management platform and adviser technology provider, Mr. Bergman...

A better set of performance metrics for RIAs

October 3, 2019

As in every field, financial advisers have a standard set of metrics they use as a barometer for success. Think of times you've met a fellow adviser. To get a sense of her firm, you likely asked about its assets under management, its growth...

Wells Fargo's New York CEO fuels questions about its West Coast base

September 30, 2019

Wells Fargo & Co.'s interim chief Allen Parker tried to bring a New York urgency to the California bank. The new boss is bringing New York. Charlie Scharf, who three years ago left the top spot at San Francisco-based Visa Inc. to rejoin his...

Wells Fargo names BNY Mellon's Charles Scharf CEO

September 27, 2019

Wells Fargo & Co. named Charles Scharf chief executive officer, marking a new era in the bank's efforts to turn itself around after a series of scandals claimed two previous CEOs in the past three years. Scharf, the CEO of Bank of New York Mellon...

Senate confirms Scalia as DOL secretary on party-line vote

September 26, 2019

Eugene Scalia became the new Labor secretary Thursday. The Republican-majority Senate confirmed Mr. Scalia to head the agency on a party-line vote, 53-44. He now takes over a department whose fiduciary rule to raise investment advice standards...

4 ways to build a team that believes in making an impact

September 26, 2019

As more than 230 Carson Group stakeholders converge in Omaha this week for our annual two-day, companywide retreat, their presence reminds me of what it means to make an impact. It reminds me that, as advisers, we often forget the reach of our...

Schroeder steps down as head of Finra enforcement

September 19, 2019

The woman who leads Finra's efforts to crack down on brokerage firms that violate its rules will leave the organization later this year. The Financial Industry Regulatory Authority Inc. announced Thursday that Susan Schroeder, executive vice...

Finra panel orders Raymond James to pay former broker more than $500,000 for defamation

September 17, 2019

Finra arbitrators ordered Raymond James Financial Services Inc. to pay a former broker more than $500,000 for treating her unfairly while dismissing her. The three-person, nonpublic-majority Financial Industry Regulatory Authority Inc. arbitration...

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