Results for "staffing / personnel"

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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...

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,...

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...

5 characteristics of growth-restrained RIAs

June 11, 2018

With competition for assets intensifying across the registered investment adviser marketplace, CEOs of successful RIAs are increasingly focused on aggressive growth strategies to bolster their competitive advantage and add significant value...

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 tips for productive conversations about diversity

August 4, 2018

Having difficult conversations sucks. Often you feel like you're running in circles, going over and over the same issues and not being heard. When the conversation turns to race, gender and sexual orientation, discussions become especially difficult....

Race is hard to talk about at work — here's how to make it easier

August 4, 2018

I'm Asian-American and grew up in a racially diverse city, but this doesn't mean I've always understood what race was or how to talk about it. During my first career as a public school teacher, the impact of racism, housing segregation and economic...

Why a lack of diversity among financial planners persists

August 4, 2018

A recent Pew Research Center study found that the majority of Americans say growing racial and ethnic diversity makes the U.S. a better place to live. While the country is experiencing an increase in diversity, the financial planning profession...

Wanted: High-value investment professionals of the future

June 5, 2018

Depending on one's perspective, the future of the investment management profession may be as bright as the noonday sun, or there could be clouds on the horizon. No matter which end of the spectrum you find yourself, we can all agree that innovations...

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,...

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...

Goldman fires salesman charged twice with attacking women

July 24, 2018

Goldman Sachs Group Inc. fired a salesman last month after he was arrested twice in just over a year and charged both times with attacking a woman. Joe Karwosky, 35, spent eight years with the firm and worked in its asset management division,...

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...

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,...

Larry Roth joins Vestorly's advisory board

June 27, 2018

Larry Roth, the former CEO of Cetera Financial Group and AIG Advisor Group, has joined the advisory board of Vestorly, a content marketing software company serving financial firms. Mr. Roth will help Vestorly develop opportunities in financial...

Raymond James names Scott Curtis to head private client business

June 29, 2018

Raymond James announced Thursday that it has appointed Scott Curtis, currently president of its independent-broker unit, head of the company's private client group, putting him in charge of all the firm's domestic retail businesses. The company...

Mary Schapiro elected to Morgan Stanley board

June 27, 2018

Mary Schapiro has been elected to Morgan Stanley's board of directors, effective Sunday. Ms. Schapiro is currently vice chair of Promontory Advisory Board, which is part of Promontory Financial Group, a strategy, risk management and regulatory...

Former Finra analyst sues agency for age discrimination

June 26, 2018

A 54-year-old former analyst for the Financial Industry Regulatory Authority Inc. sued the agency over his termination, claiming that he was part of a layoff that unfairly targeted older workers. Brian McIntyre, who worked in the self-regulator's...

UBS laying off dozens of wealth management staff

July 26, 2018

UBS Group is laying off dozens of staff at its wealth management division as it revamps the unit's leadership team, according to people briefed on the matter. Stephen Freedman, who was appointed last year as head of sustainable investing solutions...

Catherine M. Keating appointed CEO by BNY Mellon Wealth Management

June 8, 2018

BNY Mellon Wealth Management named Catherine M. Keating as its new chief executive officer and member of its executive committee. The firm has $246 billion in total client assets. Ms. Keating joins BNY Mellon from Commonfund Inc., a nonprofit...

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