Entries by Leon Morales

DNA-Accredited Financial Advisor Training Provides Edge

We are excited to be hosting DNA Accredited Financial Advisor Training for two days, April 24-25, in Atlanta. Space is limited, so please register soon. The comprehensive workshop is for financial advisors and wealth managers already familiar with the Financial DNA Discovery Processes, which advisors use to learn the communication styles, financial habits (including setting […]

The Ultimate Cheat Sheet On FINRA Firm Culture

It has been more than seven years since the financial crisis, yet some firms continue to have significant violations due to poor cultures of compliance, FINRA Chairman and Chief Executive Richard Ketchum said in a statement. This year, FINRA will be looking for firms to focus on their culture and whether it is putting customers […]

Investment Committees through the Behavioral Intelligence Lens

Most investment committees have a very clear mission: Serve as stewards for assets of the organization they represent. Recruiting the right people to do that is critical to the success of the Investment Committee. But how do we define “right”? Is it a professional background? Education? Investment knowledge? And where does the diversity lens come […]