Today's passing of a seven year sentence provides a significant deterrent to others that might think of defrauding trusting clients. An independent financial adviser who forged investment documentation relating to his clients has been sentenced to.
Ferentz, the state's highest-paid employee and one of the top earners in college football nationwide, is one of 10 people in the top 50 in Iowa to make total compensation in fiscal 2016 more than double his base pay as of July 1, according to the state.
His oldest brother, David, was beginning his second day of intensive training as a financial advisor with his new employer, Morgan Stanley. During a work break, David looked ... Many trainees , including David, ignored him. David grabbed his suit coat.
Wells Fargo Advisors has reached a $35.5 million settlement with a group of African-American financial advisers who claimed the firm discriminated against them due to their race. The group of six brokers, with lead plaintiff Lance Slaughter, are joined.
Wall Street faces a mass exodus of retiring financial advisers over the next decade, so small brokerages are beefing up their training and presence on campuses to woo future employees. Some 25,000 brokers and brokerage firm advisers will retire over.
I think we are doing that in terms of retirement and health benefits, but we are not doing it in terms of salary . I think the ... Combined, these proposals have the potential to cause real hardship, said Art Stein, a financial planner and investment.
I recently overheard my coworker talking on the phone (pretty loudly) with his financial planner and he mentioned his salary –it's $10,000 more than I make. This is an issue because he's junior to me (I'm at the Associate level and he's an Assistant.
Wells Fargo aims to have smaller accounts managed by financial relationship advisors — advisor trainees who have passed their Series 7 exams and are working in wealth-management and brokerage branch offices. “Unlike what some other firms are doing .
July 16--On July 1, Scott-based financial adviser Christine Pikutis-Musuneggi was named president-elect of the National Association of Insurance and Financial Advisors of Pennsylvania ... in financial services jobs such as operations and recruitment.
Research from Cerulli and Associates indicates that almost 30,000 trainee advisors who started ... (For related reading, see: Financial Careers: Financial Advisory Jobs and Trends Challenging Financial Advisors.) Thus, the demand for brokers and planners.
“The transition from a successful advisor to a successful businessperson is a difficult one,” says Rowland Tipper, founder of Tipper Financial Services ... early ’70s when he applied to be a sales trainee at Metropolitan Life, partly because.
Venture capital (VC) firms search the startup world looking for the next Facebook or YouTube. They provide risky capital infusions to early-stage or small companies that have limited access to more conventional sources of capital like bank loans. In.
It's an exciting time to be a financial advisor , since several decades ago, the position didn't really exist. You were either a stockbroker or a community banker or even in insurance sales, according to James Kinney, a certified financial planner and.