Staffing

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Nuveen Taps William Huffman As CEO

by FA Staff

He replaces Jose Minaya who had led the division for four years.

Advisors Reveal The 'Secret Sauce' To Servicing The Ultra-Wealthy

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Advisors need branding, new services and a secret sauce to deliver them, said experts at INSITE 2024.

Wells Fargo Says Fired Employees Used Keyboard Simulators To Fake Work

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The bank says more than a dozen employees got the boot for using software tools to simulate work activity.

Team-Based Advisor Firms Outperform Solo Practices, Cerulli Says

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Advisor teams provide more services and have more assets, the research firm said,

Focus Financial Adds Four To Leadership Team

by FA Staff

The appointments include the former CEO of Apollo Global Management.

Corporate America Is Weaponizing Trade Secrets Lawsuits In Talent Wars

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Jilted firms are fighting back in court when stars are poached by rivals.

Wall Street Fights Back Against FTC Ban On Some Noncompete Contracts

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Business groups say these contracts keep prized employees from running off with trade secrets.

Virginia Firm Sues Former Employees, Claims Sabotage

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Salomon & Ludwin wants damages from the $750 million AUM team who left and formed Founders Grove.

5 Considerations When Hiring A New Planner

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The advisor profession needs to do a better job of laying out a welcome mat for new recruits.

For Private Credit's Top Talent, $1 Million A Year Is Not Enough

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A mass defection at Barings LLC over compensation has startled the industry.

Finra To B-Ds: Don't Blame Us For Your Back-To-Office Mandates

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The regulator says not to believe firms that blame Finra for calling remote workers to the office.

Caprock Appoints Former NFL Player To Head Strategic Development

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Bennie Fowler III was a member of the Denver Broncos 2015 Super Bowl team.

Gorman To Step Down As Morgan Stanley Chairman At End Of Year

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James Gorman, 65, disclosed his plan Thursday at the company's annual shareholder meeting.

Jamie Dimon Says Succession At JPMorgan Is 'Well On The Way'

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The 68-year-old CEO moved some of his top lieutenants into new senior roles earlier this year.

TradePMR Appoints Patullo Chief Product Officer

by FA Staff

Industry veteran Jon Patullo has spent more than two decades in the advisor technology space.

Black Advisor Group Blasts DOL Independent Contractor Rule

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The Association of African American Financial Advisors said the rule could cost Black advisors clients and jobs.

Broker Sues Vantage Capital Alleging Discrimination Over Cancer

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She alleges the firm coerced her into quitting her job after her illness.

Why Advisory Firms Fail Women Advisors

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How the industry can evolve and let females move up the ladder, according to the Carson Group.

Young Advisors To Watch In 2024

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Our ninth “Young Advisors” list shows that advisors can win clients by showing individuality and resolve.

Diversity Should Still Be A Hiring Goal

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A panel of financial industry professionals said advisors need to get out of their comfort zone when hiring.

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