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Summary: Things have been very difficult at our advisory firm since one of the partners announced his intention to retire. I’ve read a great deal about succession planning and I can honestly say, we don’t have one...
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Summary: Advisory firms affiliated with independent broker-dealers, as well as registered investment advisory firms, will now have the chance to nominate themselves for national recognition for their efforts to attract and retain great talent. Through this initiative, we'll highlight firms that have successfully engaged their employees through new and innovative workplace practices.
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Summary: At BNY Mellon's Pershing Advisor Solutions Regional Symposium in New York City on Wednesday, Brian Hamburger, the founder, president and CEO of the regulatory compliance and consulting firm MarketCounsel, outlined three areas of top concern for RIAs right now: standing letters of authorization, the Department of Labor’s retirement-savings rule and, or course, cybersecurity.
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Summary: Q: All we keep hearing about at my firm is “cybersecurity.” I get what I’m supposed to do: Don’t click on strange links in e-mails. Watch out for phishing attempts. Verify distribution requests with my clients verbally. Beyond that, isn’t it the firm’s responsibility to make sure its systems are buttoned up?
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Summary: They all have wines but some are boutiques and have highly defined niches with limited production while others like Robert Mondavi specialize in the lower end wines for the masses. As a financial advisor you have to decide your focus and niche.
