6 Keys to Effective Selling for Independent Advisors
Breakaway brokers know how to sell, and once you’re over your misguided aversion to “sales,” you can, too.
Former SEC Chief Walter Joins Investor Advisory Committee
SEC named three new members to its Investor Advisory Committee, including former SEC Chairwoman Elisse Walter.
A Subtle Benefit of Being an Independent Advisor
With no manager expecting higher “production” as you research stocks or bonds, you can actually pick what’s best for those clients.
Citigroup Exec to Join Vanguard to Lead Legal Department
Anne E. Robinson will replace Heidi Stam as general counsel and managing director of Vanguard's legal and compliance division.
PIMCO Boosts Emerging Markets Team
Asset manager has made more than 130 hires globally in 2016; firm faces headwinds from passively managed, low-fee funds.
Recruiting Roundup: Ex-Morgan Stanley MD Joins Brinker Capital
Meanwhile, New York Life names Afshar, formerly with Best Buy, to an executive post; IMCA names its new marketing chief.
In New Fiduciary World, Should Governance of the CFP Board Be Tweaked?
A veteran planner who spent quality time on the CFP Board and FINRA arb boards suggests CFPs themselves should control the direction of the profession.
Community College Students: New Source of Financial Planners?
The American College's Ajamu Loving is looking to expand academic partnerships with community colleges to achieve multiple goals, including cultivating more advisors.
Honoring Advisors Who Serve(d): Fourth of July, 2016
ThinkAdvisor honors 13 veterans this Fourth of July who served in the armed forces and now serve their clients as financial advisors.
FINRA Execs Continue to Earn Big Bucks
Incoming FINRA CEO Robert Cook, from law firm Cleary Gottlieb, won't take as drastic a pay cut as a transition to public service often entails.