Tag: Strategies
Focused on the Future: Jimmy Lee: How AI and ESG will impact Financial Planning

Focused on the Future: Jimmy Lee: How AI and ESG will impact Financial Planning

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In the latest episode of Focused on the Future, veteran industry leader, Suzanne Siracuse, talks with Jimmy Lee , Founder and CEO of Wealth Consulting Group, on focusing on “where the puck is going”, the debate around ESG and its future, and the many applications and use cases on AI in financial planning.

Specifically, Jimmy discusses:

  • The shift in the way clients want to be communicated with
  • Why and how his firm is attracting top female advisor talent
  • His important advice to firms looking to acquire other firms
  • The various ways AI will transform the wealth management industry
  • How his firm’s new ESG screened portfolios will help capture the investor of the future.
  • His philosophy on providing financial planning as an added value
  • Understanding what your “genius” is not just for yourself but also for your team

Connect With Suzanne Siracuse:

Connect With Jimmy Lee: 

About Our Guest:

Jimmy Lee is the Jimmy is the Founder and CEO of The Wealth Consulting Group (WCG). He began his career in 1995 and has been self-employed from the very beginning and has grown WCG as an entrepreneur into a wealth management firm with a national presence. After almost two decades of managing branch offices and supervising other financial advisors for two Fortune 100 financial companies, Jimmy founded WCG’s current business as a SEC Registered Investment Advisor (RIA) in Oct. 2014 and also became affiliated with LPL Financial for brokerage services. Financial Advisor Magazine recognized WCG as the 5th fastest growing RIA in 2016 and WCG was awarded the InvestmentNews for Excellence in Diversity and Inclusion in 2018*

The financial media call on Jimmy for his knowledge in investing and the advisory industry. He appears regularly on CNBC, Fox Business, Yahoo Finance, and TD Ameritrade. He has been profiled and quoted in the Wall St. Journal, Marketwatch, Bloomberg, Financial Planning, Forbes, and many other financial publications.



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Focused on the Future: Kay Lynn Mayhue: Why Investing in TALENT is key to a Firm’s Long-term Success

Focused on the Future: Kay Lynn Mayhue: Why Investing in TALENT is key to a Firm’s Long-term Success

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In the latest episode of Focused on the Future, veteran industry leader, Suzanne Siracuse, talks with Kay Lynn Mayhue, President of Merit Financial Advisors, on the importance of cultivating top talent and creating a strong company culture, organic growth tactics that work, and the many ways to attract and support women in financial services.

Specifically, Kay Lynn discusses:

  • Why Merit’s Servant leadership style has been instrumental in creating a firm culture where team members thrive.
  • How to meet and exceed client expectations as they continue to evolve
  • Effective organic growth strategies including digital marketing initiatives and revenue share programs.
  • Why setting personal boundaries and being transparent are critical when it comes to attracting and supporting women in financial advice.
  • The significance of having an adaptable tech stack to meet future business needs

Connect With Suzanne Siracuse:

Connect With Kay Lynn Mayhue:

About Our Guest:

Kay Lynn Mayhue is the President of Merit Financial Advisors, a national wealth management firm that supports advisors affiliated with independent broker-dealers, as well as those who are registered investment advisors

Kay Lynn has played many roles in the financial advisory industry: as a successor, partner, seller, and buyer. This unique and diverse background allows her to be able to relate to advisors in all phases of their careers and mergers and acquisitions. With a background in financial planning and leadership, her career expands over several areas, including advising clients, mergers and acquisitions, and strategic growth.

She holds her CFP®, AEP®, and RFC® and has been a critical decision-maker for two firms over the past twenty years. Kay Lynn has overseen the majority of Merit’s mergers and acquisitions and has been recognized for that by winning the 2023 WealthManagment.com M&A Leader of the Year. 

She is passionate about helping people take their careers – and themselves – to exceptional levels. Kay Lynn’s influence in the industry and her drive for success is a driving factor in Merit’s ongoing growth and appeal to growth-oriented advisors.



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Focused on the Future: Maurice Miller: Why the Wealth Management Industry Needs to Rethink New Financial Advisor Compensation Structure

Focused on the Future: Maurice Miller: Why the Wealth Management Industry Needs to Rethink New Financial Advisor Compensation Structure

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In the latest episode of Focused on the Future, veteran industry leader Suzanne Siracuse talks with Maurice Miller, CFP, Managing Director of The Miller’s Wealth Management on reevaluating how new advisors are compensated, assisting your clients in talking about money with their children, and why there is no better time than now to be in the wealth management industry.

Specifically, Maurice discusses:

  • Why, in order to broaden the talent pool into wealth management, we need to challenge the current structure of how new advisors are compensated. 
  • How advisors can advise their clients on talking to their children about money
  • Why embracing technology and understanding the impact of social media is key to achieving success for the future
  • In order to capture younger investors, advisors need to meet them where they are now, AND GROW WITH THEM
  • As people are becoming more comfortable with sharing their personal beliefs it is also impacting their investment selection

Connect With Suzanne Siracuse:

Connect With Maurice Miller:

About Our Guest: 

Maurice is driven, consistent, compassionate, and an educator at heart.

He positions clients to take a big picture approach by helping them achieve their financial goals in a concise, sensible manner. Educating clientele on the “why” behind every financial decision along the way, he simplifies their complex needs and goals. The clientele who works with Maurice leave with a clear, written roadmap to their financial future, which focuses on six key areas of wealth management.

Maurice Miller has served small business owners, executives, professionals, and retirees through the financial services industry since 2005.  Maurice also holds the Series 7 & 66 Securities License, health and life insurance agent license, State of Michigan continuing education instructor’s license for CPAs, and the CERTIFIED FINANCIAL PLANNER (TM), Chartered Financial Consultant®, and Certified Exit Planning Advisor® professional designations.

Maurice is an advisory Board member of C.H.I.P (Changing How Individuals Prosper,) The American College of Financial Services Alumni Network, and is also a member of the CERTIFIED FINANCIAL PLANNER’S (TM) NATIONAL DISCIPLINARY AND ETHICS COMMISSION.

Maurice is a 2021-2023 Five Star Wealth Manager Award Recipient, a 2022 InvestmentNews 40 Under 40 Honoree, and was inducted into the John Hay High School (Cleveland, OH) Hall of fame in 2023.  He is also the co-creator of a financial literacy curriculum designed for middle and high school students and is also the author of two published books; Navigator Your Way To and Through Retirement, and When The Word Meets The Wallet; a Biblical guide to money management.

 

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Focused on the Future: Luis Rosa: How Leading with Planning, Authenticity and a Specialty Translates to Success

Focused on the Future: Luis Rosa: How Leading with Planning, Authenticity and a Specialty Translates to Success

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In the latest episode of Focused on the Future, veteran industry leader Suzanne Siracuse talks with Luis Rosa the founder of Build a Better Financial Future LLC, on the importance of authenticity in your approach and your business model,  changing the status quo on pricing models, and how his BLX Internship program is cultivating the advisor of the future.

Specifically, Luis discusses:

  • How, by sharing his own personal experiences with money, translates into new clients
  • His strategy on serving first generation wealth creators.
  • Why leading with financial planning is key to capturing the client of the future
  • The ground breaking program he co-Founded, The BLX Internship
  • Why having a specialty will set a practice better up for success

Connect With Suzanne Siracuse:

Connect With Luis Rosa:

About our Guest:

Luis is the founder of Build a Better Financial Future LLC. He came to the U.S. at age 11 from the Dominican Republic. Growing up in New York City and now living in California, Luis noticed the lack of financial literacy in his community and was inspired by his parents to work hard and pursue an education. 

Luis uses his platform to help spread financial literacy via media outreach as well as encourage younger and diverse planners to join and thrive in the industry.

He is the host of the “On My Way to Wealth” podcast, and co-founder of the BlatinX (BLX) Internship Program and co-founder of the SER Latino Advisor Summit. Luis was named one of InvestmentNews 40 Under 40 in 2019 and Financial Advisor Magazine’s 10 Young Advisors to Watch, as well as Investopedia Top 100 Financial Advisors in 2020, 2021, and 2022, and 2023 and named one of 8 Hispanic Personal Finance Influencers to Follow for Money Advice by The Penny Hoarder and NerdWallet.

About BLX:

The BLX Internship Program provides an entryway into the financial planning profession for aspiring Black and Latinx financial planners by helping them obtain paid summer internships with financial planning focused firms.

 



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Focused on the Future: JC Abusaid: Being Fearless and Defining your NorthStar

Focused on the Future: JC Abusaid: Being Fearless and Defining your NorthStar

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In the latest episode of the new podcast series, Focused on the Future, veteran industry leader Suzanne Siracuse talks with JC Abusaid, CEO of Halbert Hargrove, on the importance of purposeful collaboration, being fearless on culture, clients and teams,  and capturing a client’s loyalty for the long term.

Specifically, JC discusses:

  • How fate and persistence landed his dream job
  • How his “no fences” approach led him to building successful teams
  • Handling conflict through consistent communication and role clarity
  • The importance of documenting your firm’s culture strategy
  • His firm’s unique approach to working with clients. 

Resources:

Connect With Suzanne Siracuse:

Connect With JC Abusaid:

About Our Guest: 

As CEO and President of Halbert Hargrove, JC is guiding the firm confidently into the future. Execution and operational excellence are his bywords; we consider him our glue. He formally took the helm of CEO in December 2021. For many years, working alongside Chairman and HH founder Russ Hill, JC has had the privilege to be involved in most facets of the firm, and has enjoyed being part of HH’s growth and success.

JC enjoys the dynamic nature of his role: “I like solving big challenges,” he says. He joined HH as Operations Manager in 1996 and was named President and Chief Operating Officer in 2010.

JC earned his Bachelor of Science in Business Administration with a Finance emphasis from the Colegio de Estudios Superiores de Administracion in Bogota, Colombia, and his MBA from University of Redlands School of Business. He was awarded the ACCREDITED INVESTMENT FIDUCIARY™ designation by the University of Pittsburgh-affiliated Center for Fiduciary Studies.

In 2016, JC was part of Stanford University’s pioneer cohort in earning a LEAD Certificate in Corporate Innovation from Stanford Graduate School of Business. In 2021, he was again part of an inaugural class, this time in taking part in BlackRock’s first Emerging Leader Lab.

Married to Ruth for more than 30 years, JC is dad to Nico and Isabella – and a Boston Terrier named Lola. After a decade-long odyssey of breaking ground and overcoming an absurd number of obstacles, JC is happy to report that the Abusaid family finally took up residence in their Laguna Beach home in 2021. JC’s commitment to exercising and eating healthy is legendary; call him a health freak, and he’ll take it as a compliment. Outside of the office, you’ll find him running, mountain biking, wakeboarding, and snowboarding.



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Focused on the Future: Lazetta Braxton: Her Advice on Making an Impact by Doing the Work

Focused on the Future: Lazetta Braxton: Her Advice on Making an Impact by Doing the Work

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In the latest episode of the new podcast series, Focused on the Future, veteran industry leader Suzanne Siracuse talks with Lazetta Braxton, Co-CEO of 2050 Wealth Partners, about how she is structuring her firm to serve the investor of the future, why she doesn’t like the term “mentor”, and why we all need to pay attention to Gen Z.

Specifically, Lazetta discusses:

  • Her firm’s business model and how it is allowing people who are income rich and building assets to have access to financial planning and a partner with them on the journey
  • The one important conversation that led her to become one of the leading voices in our industry
  • Why she is leaning into being a “friend-tor” vs a mentor
  • Her advice on working with the media 
  • Why firms need to be paying attention to what Gen Z is saying 

Resources:

Connect With Suzanne Siracuse:

Connect With Lazetta Braxton:

About Our Guest:

For Lazetta Rainey Braxton, MBA, CFP®, it’s all about doing the work. 

She is passionate about amplifying diversity, inclusion, equality and belonging in the financial planning profession, and does so through financial planning, public speaking, writing, consulting, and coaching. 

Lazetta serves as co-CEO of 2050 Wealth Partners, where she provides access to financial planning to individuals and families who desire financial freedom to influence, experience, give and make a difference for their family and future generations.

Through Lazetta’s business consulting practice, Lazetta & Associates, she employs a “no fear, no shame zone” to help financial services firms nurture culturally aware and hospitable workplace environments that ignite innovation and allocate equity amongst their employees.

A sought-after financial expert, Lazetta delivers keynote presentations and workshops with both care and urgency that invite attendees to nurture and advance human capital.

Recognized for her leadership, entrepreneurial spirit, and dedication, Lazetta was named as a Crain’s New York Business Notable Black Leader and Executive, as well as one of the top 10 of Investopedia’s 100 Top Financial Advisors for three consecutive years. Investment News’ honored her as one of its inaugural Women to Watch and Excellence in Diversity and Inclusion recipients. She also received the Association of African American Financial Advisors’ Leadership Legacy Award and the Heart of Financial Planning award from the Financial Planning Association. 

Lazetta’s national media presence includes appearances on NBC Nightly News with Lester Holt, Nightly Business Report, and CNBC’s Closing Bell. She writes on topics related to culture, talent and wealth as a member of the CNBC Digital Financial Advisor Council and a contributor to the Wealth Management to the WSJ Experts blog, WealthManagment.com, and NextAvenue.org.

In all her endeavors, she is on a mission to create wealth for the common good.

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Focused on the Future: Trap Kloman Discusses How to Continue Success in an Unpredictable and Evolving Market

Focused on the Future: Trap Kloman Discusses How to Continue Success in an Unpredictable and Evolving Market

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In this episode of Focused on the Future, industry leader Suzanne Siracuse talks with Trap Kloman, the President and COO of Commonwealth Financial Network, to discuss strategies and principles that have contributed to the long-standing success of Commonwealth Financial Network and its dedication to serving its advisors effectively.

Specifically, Trap discusses:

  • How a customer-centric approach has helped Commonwealth build strong relationships with advisors as their mission and reason for being. The firm believes that if they take care of their advisors, success will naturally follow.
  • Why a purpose-driven mindset is essential in the industry, and Trap reiterates the importance of having a clear purpose and staying true to it in all their endeavors.
  • Balancing client requests with the firm’s capabilities and the need to prioritize requests based on what is feasible and aligns with the firm’s overall mission.

Resources:

Connect With Suzanne Siracuse:

Connect With Trap Kloman:

About Our Guest:

Trap Kloman serves as President and Chief Operating Officer at Commonwealth Financial Network. With the firm since 2015, he works to strengthen the success of our company and our advisors by ensuring that all members of our community have the resources, tools, and opportunities they need to remain competitive. That starts by building relationships, lending an ear, and keeping abreast of future opportunities and industry trends.



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Focused on the Future: Heather Fortner: Her Journey, Lessons and Advice on Making it to the C-Suite

Focused on the Future: Heather Fortner: Her Journey, Lessons and Advice on Making it to the C-Suite

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In the latest episode of the new podcast series, Focused on the Future, veteran industry leader Suzanne Siracuse talks with Heather Fortner, CEO of SignatureFD, about the importance of understanding people’s motivations,  the evolution of a firm’s messaging and why inclusion is key to a positive culture.

Specifically, Heather discusses:

  • Her journey from intern to CCO to CEO
  • Why her degree in professional counselling was the most important thing she has done.
  • Her firm’s unique website messaging and how it came about.
  • The one question she was asked influenced how she builds and develops her teams.

 Connect With Suzanne Siracuse:

Connect With Heather Fortner:

About Our Guest:

Heather is the Chief Executive Office and Chair of the Board of SignatureFD, an integrated and comprehensive wealth management firm with offices in Atlanta, Georgia and Charlotte, North Carolina, recently named to the Inc. 5000.

During her twenty-year tenure at the firm, Heather has created and executed strategies that have exponentially grown SignatureFD’s AUM from $250M to over $7B.  Her unwavering commitment to leading and building teams that exhibit excellence in leadership with heart has garnered her national recognition. Among these accolades, Heather has been awarded CEO of the Year by Wealth Management Magazine in 2021 and Most Admired CEO by the Atlanta Business Chronicle in 2022. In 2023, she was selected to the Leadership Atlanta Class of 2023 and named to the Titan 100 List. 

She is a longstanding advocate of DEI initiatives both at SignatureFD and within the wealth management industry broadly. Her focus on empowering women to take on leadership positions has helped SignatureFD achieve a 90% female executive leadership team. Her belief that every person has a purpose in life, to which wealth properly aligned can help support, is the cornerstone of SignatureFD’s client promise, Net Worthwhile™.

Resources:



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Focused on the Future: Peggy Haslach: How Financial Advisors can best serve the LGBTQ+ community

Focused on the Future: Peggy Haslach: How Financial Advisors can best serve the LGBTQ+ community

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In the latest episode of the new podcast series, Focused on the Future, veteran industry leader Suzanne Siracuse talks with Peggy Haslach, financial advisor at The Finity Group, talk about how to best serve LGBTQ+ clients and team members, creating a niche practice that aligns with you as a person, and why she believes our profession “needs more pies!”

Specifically, Peggy discusses:

  •  Why she changed careers and became a financial advisor. 
  •  Critical best practices in serving the LGBTQ+ community.
  •  The importance of discussing ESG with your entire client base
  • Various ways in which firms and their teams can approach DEI effectively.  

Resources:

Connect With Suzanne Siracuse:

Connect With Peggy Haslach:

About Our Guest:

Peggy Haslach, CFP, CLU is a Financial Advisor with The Finity Group.  Peggy has built her practice working with female practice (veterinarians, doctors, and attorneys) and small business owners. At age 53 she made a career change when she saw, first-hand, the effect life events had on women’s financial security. She realized there were very few female financial advisors and financial advisors who could relate to the different planning needs of women and LGBTQ. 

Peggy is a lifelong athlete. She was a Highschool All American Swimmer and a member of the Women’s National Waterpolo Team. As an athlete, trainer and coach, Peggy uses a coach’s approach with her clients. Peggy has also earned her both her CERTIFIED FINANCIAL PLANNER ™ ( CFP®) and Chartered Life Underwriter ® (CLU®) designations. Peggy is a member of The Finity Group’s Diversity, Equality and Inclusion Committee and was honored as a Rising Star at the 2022 InvestmentNews Diversity, Equity, & Inclusion Awards for her work promoting Diversity, Equity and Inclusion in the financial services industry.

Peggy and her wife Desiree live in Sumner, Washington with their 4 Border Collies.



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Focused on the Future: Leslie Tabor: Why every Financial Advisory Firm needs to have a Talent Strategy

Focused on the Future: Leslie Tabor: Why every Financial Advisory Firm needs to have a Talent Strategy

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In the latest episode of the new podcast series, Focused on the Future, veteran industry leader Suzanne Siracuse talks with Leslie Tabor, Director of Education and Consulting at Charles Schwab, about what key areas top performing firms are investing in, mastering inclusive leadership skills, and why a “people first, employees second” approach to culture is a win for all.

Specifically, Leslie discusses:

  • Why having a talent strategy is critical to firm growth. 
  • Tips for creating a team culture in hybrid work environments.
  • The important of offering Training and Development programs. 
  • Recruitment and retention strategies that work.

Resources:

Connect With Suzanne Siracuse:

Connect With Leslie Tabor:

About Our Guest:

Leslie Y. Tabor is director of Business Consulting & Education for Schwab Advisor Services. She oversees the strategic direction of talent management programs designed to help independent advisors evolve and grow their firms.

Since joining Schwab in 1999, Leslie has held leadership roles in operations, risk management, and program management. She is passionate about advancing diversity, equity, and inclusion in the financial services industry; she mentors young professionals and works with the Professional Business Women of California, Financial Women of San Francisco, and the CFP Board Center for Financial Planning.

Leslie holds a bachelor’s degree from the University of Phoenix. She was recognized as one of the Top 100 Filipina Women in 2015 by the Filipina Women’s Network, with the 2016 Industry Leader Award by the Professional Business Women of California, with the 2019 “See It, Be It” Role Model Award by InvestmentNews, and with the 2021 “Diversity and Inclusion Luminaries Award by ThinkAdvisor.



 

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