Results for "staffing / personnel"

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UBS escalates its pursuit of rich Americans with staff promotions

March 6, 2019

UBS Group promoted 96 employees to the level of managing director in the Americas as it seeks to gain more rich clients and expand in the region. The Swiss bank elevated 60 financial advisers and 36 Americas staff, according to Tom Naratil,...

Making room for the next generation of advisers

March 4, 2019

Recently, I read an article in the November issue of the Harvard Business Review (What Happens to Younger Workers When Older Workers Don't Retire) that got me thinking. It focused on the world of symphony orchestras, where many principal oboists...

Wells Fargo CEO Tim Sloan could be hard to oust — here's why

February 22, 2019

Wells Fargo & Co.'s top critic makes it sound so easy. Sen. Elizabeth Warren has made her view clear — again and again — that the bank can't resolve its scandals until it names an untainted replacement for Chief Executive Officer Tim Sloan....

Look for more changes at Cetera Financial Group

February 20, 2019

Robert Moore's resignation from Cetera Financial Group likely signals other changes to come at the giant broker-dealer network, according to advisers and industry observers. Those could range from the firm's owner, Genstar Capital, winnowing...

Robert Moore, Cetera CEO, stepping down for health reasons

February 19, 2019

Cetera Financial Group said on Tuesday that Robert Moore will step down as its CEO, effective March 31, due to health reasons. Mr. Moore will continue to serve as an adviser to the board and executive management team. Ben Brigeman, board chairman,...

Great-West Life taps Edmund Murphy to succeed Robert Reynolds as CEO

February 7, 2019

Edmund F. Murphy III will succeed Robert L. Reynolds as president and CEO of Great-West Life & Annuity, the U.S. subsidiary of Great-West Lifeco Inc. and the parent of Empower Retirement, of which Mr. Murphy remains president. Mr. Reynolds becomes...

5 ways to attract top talent to your RIA firm

January 30, 2019

One of the tightest labor markets in history, combined with the extraordinary growth of the independent advice industry, has created a fiercely competitive environment for attracting talent. Nearly three-quarters (73%) of independent firms planned...

Let's redeploy veterans to save our industry from an impending shortage of advisers

January 10, 2019

During the holiday season, we tend to see a higher than usual number of uniformed military personnel enjoying time with their families in public. What we don't see are the massive numbers of military veterans who no longer wear the uniform but...

Alexa von Tobel seeks $200 million for new venture capital fund

January 9, 2019

Alexa von Tobel is seeking $200 million to launch a new venture capital fund called Inspired Capital Partners, according to a Form D filed Wednesday with the Securities and Exchange Commission. The filing comes just a few days after Ms. von...

Federated Investors fires staffers after they used hand signs during TV interview

January 4, 2019

Federated Investors Inc. fired at least two employees for unprofessional conduct last month during a Bloomberg Television interview of one of the firm's money managers. "We apologize to anyone who was offended," Meghan McAndrew, a spokeswoman...

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...

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