Jay Clayton — Wall Street's Top Cop: The 2017 IA 25
Groups press the new SEC chief to prioritize a fiduciary rule; appointing staff will be among his top tasks.
Ron Carson — The Advisor’s Advisor: The 2017 IA 25
He argues today's reps must prove their worth and adjust to change; "you either evolve quickly or become irrelevant."
SEC, FINRA to Host BD Compliance Outreach Symposium
Topics range from cybersecurity to investing by seniors.
TD Bank Names New Sales Chief for Wealth Group
Jim Nesci joins the the firm from Provident Bank; he has more than 25 years in the industry.
RBC, Amerprise Add Wirehouse Reps: Recruiting Roundup
Meanwhile, Raymond James grabs a Morgan Stanley executive; CapTrust brings InTrust into its network.
Raymond James Taps Popular UBS Exec for Private Client Post
After Raymond James announced that Kim Jenson would be COO of the group, coming from UBS, fan mail poured in, group head Tash Elwyn said.
AllianceBernstein Fires CEO Peter Kraus and Removes More Than Half Its Board
Kraus is replaced by former JPMorgan executive Seth Bernstein as CEO and former World Bank President Robert Zoellick as chairman.
The Face in the Mirror: Admitting (and Overcoming) Advisor Fears
In my experience, most business owners need help dealing with failure, which most folks don't want to deal with, let alone read about.
What to Look for When Hiring Young Planners
When contemplating staffing decisions for your firm, things such as timing, expectations, compensation, personality and skill set all have to align.
The Key to Success Is Often What You Don’t Know
“It’s not the things we don’t know that get us into trouble, it’s the things we know that ain’t so.”