Added on April 2015 in Join an RIA
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Summary: It’s difficult to view your wirehouse’s culture as warm and nurturing when there’s a gun-toting branch manager breathing down your neck for sales. Jon Ten Haagen of Ten Haagen Financial Group says a broker he knew in the 1980s swore that was the case at a New York City office.
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Summary: Paul Saganey, the president and founder of Integrated Financial Partners, a fee-based financial services firm in Waltham, Mass., faced a situation that no executive ever expects. In the past year and a half, three financial advisors working for him passed away.
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Summary: Nearly every speaker at SIFMA's Private Client Conference talked about it. Almost every panel was asked about it. What was the hottest topic this year? Robo advisors.
Added on April 2015 in Form an RIA
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Summary: The SEC has elevated Office of Compliance Inspections and Examinations Deputy Director Marc Wyatt to to acting director of the unit, which is responsible for examining financial advisors.
Added on April 2015 in M&A Issues
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Summary: The acquisition of the Sterne Agee Group by Stifel Financial Corp. was classic Ron Kruszewski: find a company in turmoil and buy it on the cheap. It is a strategy that has served the Stifel chief executive well over the past 18 years.
