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On the Road to Democratizing Investing

In this important episode we discuss what it really takes to create investing opportunities for all client segments – how to bring investing to the masses. We also discuss how quickly our industry is changing, where the puck is going, and what we must do to keep up.

Discussion topics include:

  • The threat posed by the app-based fintechs
  • How to bring investing to the masses
  • Eliminating friction in the investing process
  • Effectively serving the NextGen investors
  • Being there when the investor transitions from DIY to DIFM (Do It For Me)
  • Abandoning what got you to where you are today

We also introduce a new “disruptor” third-party broker dealer to our channel!

Hosts:

Scott Stathis and Bob Mittel

Our discussion guests are:

Our sponsoring partner, who made this episode possible, is:

Copper Financial

Music Credits:

Band: A Rusty Something (Nick Simpson)

Song: SSRI

Disclosure Statement from Copper Financial:

The information contained within this podcast is provided for informational purposes only and should not be construed as personalized investment advice, or an offer to sell or the solicitation of any offer to buy any securities. The comments, views, and opinions expressed in the presentation are those of the speakers and do not necessarily represent the views of Copper Financial (“CuFi”). Some asset categories and investments discussed in this podcast may not be available through CuFi.

 Securities and advisory services offered through CuFi, Member FINRA/SIPC. CuFi is a SEC registered investment adviser. Products offered through CuFi: are not NCUA/NCUSIF or otherwise federally insured, are not guarantees or obligations of the credit union, and may involve investment risk including possible loss of principal. CuFi is a wholly-owned subsidiary of CommunityAmerica Credit Union.

Disclosure Statement from Apex Clearing Corporation:

Information provided by Bill Capuzzi in this podcast is for informational purposes only and is not intended to be a solicitation, offering or recommendation of any security, digital asset, or investment management/advisory service. Opinions and commentary expressed by Bill Capuzzi are his own and not necessarily those of Apex Clearing Corporation, a subsidiary of Apex Fintech Solutions. Apex Clearing Corporation is a SEC-registered broker-dealer and member of FINRA /SIPC. Cryptocurrency products and services are offered through an affiliate Apex Crypto LLC (NMLS ID 1828849).

Goodbye 2021 Hello 2022 – Lessons Learned

For this episode we’re joined by executives leading the charge in three third-party broker dealers that serve our channel: Chris Melton of Ameriprise, Jim Norwood of Securities America, and Dan O’Brien of LPL. We discuss leveraging lessons learned in 2021 to get off to a fast start in 2022. Topics include:

  • New measurements of success
  • Reinvention of branches
  • Fee-for-service
  • Providing choice – the RIA factor
  • Attracting the NextGens

We also talk about the best concerts we saw in 2021 🙂

Come join us!

Case Study: Bank Increases Revenues with Advisor Financial Planning Adoption

This episode is a case study on how to increase financial planning adoption and the resulting program productivity effects.

We will talk with two program executives, and trainer, and an advisor to learn about effective training strategies, success measurement, and business impact.

Hosts:

Scott Stathis and Bob Mittel

Discussion Guests (alphabetical order):

  • Ken Flaherty – SVP Chief Sales Strategy Officer at Frost Brokerage
  • Angela Holliday – President at Frost Brokerage
  • Marco Rodriguez – Wealth Advisor at Frost Brokerage
  • Jennifer Shields – National Training Director at Midwood Financial

Sponsoring Partner:

Midwood Financial

Music Credits:

Band: A Rusty Something (Nick Simpson)

Song: Someone New

Executing Effective Broker-Dealer Due Diligence

In this episode we talk with industry executives who have recently conducted broker dealer due diligence projects and tackled conversions. We discuss lessons learned and extract best practices.

Being a Best-Practices Program

For this episode we initiate a focus on what it takes to be a top performing program. For the next series of BISA episodes we will interview program managers from top performing programs in our benchmarking research. This month we interviewed David Biliter from First Citizens, a program that holds the #1 position for household revenue penetration. We were also joined by Matt Barhorst of Ameriprise, one of the top BDs in the nation..

 Topics include:

  • Creating a culture of advice
  • Removing friction from the process
  • Creating a career path towards Second Story Advisors
  • Cross-departmental cooperation
  • Earning the trust of lenders
  • Getting past the “$300K GDC Wall”
  • Creating a fully functional remote advisor center
  • Having client discussions about the Protection Need

Success Beyond Market Performance

Tim Sease, the 26 year veteran of South State Bank, and Sam Nasser, a 17 year veteran of the third-party BD world currently with Ameriprise, join us for a discussion on revenue drivers net of market performance, differentiation, leveraging planning in a low interest rate environment, covering the protection need, meeting our real competition head-on, and the importance of culture.

Continuing Our Channel’s Momentum

Chris Melton of Ameriprise and Tim Killgoar of Raymond James discuss how to continue 2021’s gravity-defying momentum, best-practice differentiators, competing with other channels, and recruiting.

Servicing the Protection Need

In this episode called “Servicing the Protection Need”, we discuss the critical importance of not only helping clients grow their assets, but also helping them protect their assets.

We talk with five subject matter experts on topics ranging from leveraging the middle-market dominance of banks for life sales, removing life sales obstacles, the single best way to jump-start life sales, and effective long term care discovery.

This episode is made possible by support from Westland Financial, and we would like to thank them for their partnership in producing this podcast.

Hosts:

Scott Stathis and Bob Mittel

Discussion Guests:

Sponsoring Partner:

Westland Financial

Music Credits:

Band: A Rusty Something (Nick Simpson)

Song: Someone New

Strategic Roadmap for Second Half of 2021

This month we are joined by Pete Dunlap of Citizens Bank, Jim Fujinaga of Hancock Whitney, and Kyle Stroud of Centennial Bank.

In addition to industry trends our panel discusses the strategic initiatives driving their programs through 2021 and beyond including client segmentation, rep force tiering, increasing financial planning, working the bank, and becoming a “Trusted Advisor”.

Untangling ESG Investing

In this fascinating discussion we peal back the layers of ESG to uncover what it really is, how to manage it by leveraging the latest technology, how to cut through the “greenwashed” marketing fluff, and how to use ESG as a practice differentiator.

We promise you this is the most enlightening ESG discussion you will ever listen to!

Once you listen to the episode be sure to visit our ESG page for the information and graphics that will provide additional related insights.

Hosts:

Scott Stathis and Bob Mittel

Discussion Guests:

Sponsoring Partner:

YourStake

Music Credits:

Band: A Rusty Something (Nick Simpson)

Song: SSRI