Results for "staffing / personnel"

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Schwab to cut 600 jobs in 'challenging' economic climate

September 11, 2019

Charles Schwab Corp. said it is cutting 600 jobs, or about 3% of the workforce, as the San Francisco-based broker-dealer and wealth advisory firm faces "an increasingly challenging economic environment." "These actions are a prudent step to...

The path to success? It's all about client relationships

September 5, 2019

How long did it take to become the skilled financial adviser you are today? Would you say about as long as you've been in practice? That answer sounds right to me. As an established and experienced adviser, I bet your advisory acumen has improved...

UBS reshuffles execs atop wealth management unit

August 29, 2019

UBS Group CEO Sergio Ermotti moved to quell concerns surrounding the bank's long-term succession plan with a radical overhaul of the top ranks, hiring a star banker from a rival and ousting some of its most senior executives. After a year marred...

Verbal agreement became a succession plan

August 23, 2019

Sometimes a verbal agreement is all you need to get a succession plan rolling. That was the case in August 2008, when John Middleton walked away from a job as an institutional portfolio manager at Invesco to become a financial adviser at a $41...

Learn to love delegating

August 21, 2019

As a planner and adviser for almost three decades, I've become good at delegating. But I sure didn't begin that way. Like many of you, I started with a desk, a phone, and a manager who gave me a lot of encouragement, but no leads or clients....

As Wells Fargo seeks CEO, toll on stock hits $24 billion

August 20, 2019

At Wells Fargo's town hall meetings, executives have fielded countless questions from employees about efforts to resolve scandals that erupted almost three years ago. One looming topic hasn't come up recently: Who will run the bank? While the...

Advisers view diversity efforts as a complex, heavy lift

July 26, 2019

Discussions about the financial services industry's reputation for being mostly white and mostly male will usually trigger a raft of enthusiastic perspectives, but what most people agree on is that progress is slow and real diversity is still...

TD Ameritrade CEO Tim Hockey says his exit is unrelated to M&A

July 23, 2019

TD Ameritrade CEO Tim Hockey said his departure from the online brokerage by no later than the end of February has nothing to do with mergers and acquisitions, "pro or con." Mr. Hockey, in a phone interview, brushed off a direct question about...

TD Ameritrade CEO Tim Hockey resigning

July 22, 2019

TD Ameritrade Holding Corp. president and CEO Tim Hockey will leave the company by February 2020. Mr. Hockey will continue his role as TD's board of directors conducts a search for his successor. If a successor is named before the February deadline,...

New CEO of InvestmentNews announced

July 18, 2019

Christine Shaw has been named chief executive of InvestmentNews, the leading source of news, analysis and information for the financial advisory community. She succeeds Suzanne Siracuse, who announced her resignation earlier this week. Ms. Shaw...

Carson Group names leaders for adviser and consumer operations

July 17, 2019

The Carson Group has elevated two executives to serve as co-presidents, with one heading the firm's adviser-oriented efforts and the other its consumer-oriented business. (More:​ InvestmentNews 40 Under 40 2019: Aaron Schaben) Aaron Schaben,...

InvestmentNews CEO and publisher Suzanne Siracuse resigns

July 16, 2019

Suzanne Siracuse, the CEO and publisher of InvestmentNews, announced her resignation, effective Aug. 16. Ms. Siracuse helped launch InvestmentNews, the leading source of news, analysis and information to the financial advisory community, in...

Build wealth by investing in your advisory business

July 9, 2019

Most financial advisers do a poor job with their own financial planning. You'd think that financial advisers who spend their careers advising clients would wise up and learn that one of the best ways to build real wealth is to create a great...

6 best practices for running your firm

July 2, 2019

In the past, the small business owner could get by without being an active CEO. But those days are long gone! Today, you must wear many hats (or hire others to wear them) — including HR manager, marketer and CFO — to keep your firm healthy...

Increase diversity or die, Pershing CEO Tibergien tells RIAs

June 27, 2019

For Mark Tibergien, CEO at BNY Mellon's Pershing, making the financial advice industry a more diverse and inclusive place isn't just the right thing to do — it's imperative for the survival of the business. People have been talking about the...

The truth about family office jobs

June 12, 2019

Family offices are on the hunt for talent. Yet attracting financial hotshots to C-level positions at wealthy families' investment offices is tricky work, mostly because not everyone is prepared for the culture change. Working directly for some...

Hire new college grads, and help plan for the future of your firm

June 11, 2019

Do you have a plan for the future of your firm? Mentoring new college grads is a great answer. Each year, our colleges and universities produce over 2.5 million graduates. Most, obviously, aren't ever hired by investment advisers and financial...

It takes a village: The value of collaborative adviser communities

June 7, 2019

As demographic trends shift and a decade-long bull market accelerates investor wealth, financial advisers are faced with increasing pressure to address the changing needs of their clients. The last 10 years have generated more wealth among investors...

The power of culture

June 6, 2019

Culture — it's that squishy, fuzzy thing we hear about. It's hard to define, but we know it when we feel it. Generally, an office's culture is pretty evident within minutes of entering the space. But is yours happening by accident or are you...

Legg Mason cuts 12% of staff in revamp as investor Peltz joins board

May 24, 2019

Legg Mason Inc. is cutting 120 people, or about 12% of its staff, and streamlining its executive committee just days after adding investor Nelson Peltz to its board. The cost-cutting steps are "critical to our ongoing growth," Joseph Sullivan,...

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