While just about everybody in our audience is familiar with the large broker dealers that serve the bank and credit union channels, there are other options that most are not familiar with. These options tend to be smaller boutique broker dealers that offer their own unique benefits and value propositions which could be very beneficial in many circumstances. In this episode we explore one of those options, Midwestern Securities, a boutique community-first broker dealer and RIA owned and operated by community bankers and financial professionals.

Our panelist for this episode are:

• Mike Graham, CFP®- President and CEO of Midwestern Securities
• Anne Schutt, CFP®- Vice President, Midwestern Securities
• Chris Gavin – CEO, Midwest Bank
• Luke Harl – Financial Advisor and Vice President of Asset Management, FNB Wealth Management at Fairfield National

In this episode we discuss how a comprehensive wealth management program is a cornerstone for financial institutions seeking to expand their customer base and cultivate profitable relationships. How these programs allow an institution to service more needs and thereby create loyal relationships with clients, gather more assets, and increase per-client revenue and profitability. When done well these programs provide a platform for holistic financial guidance tailored to individual needs. Listen in and learn from our guests how to create a profitable integrated financial services ecosystem!

• Matt McAfee from M&T Bank
• Tim Sease from South State Bank
• Heather Broderick from LPL
• Chris Cassidy from LPL

In this episode we discuss how LBE programs, when done right, form an effective bridge between the institution and the wealth program. How to select and compensate LBEs. Career pathing, success stories, avoiding past mistakes, and more. Our guests are:

• Tiger Booker – LPL
• Kelly Meany – LPL
• Chuck Shreve – Fremont Bank
• David Simula – SAFE CU

A big THANKS to LPL for being a sponsoring partner on this episode.

In this episode we continue the discussion on the journey to “One Wealth” that we began in Part One. We’ll cover topics like effective leadership, measuring success, driving the culture, creating awareness, among others!

Our guests are:

• Rebecca Robinson – Zions
• Chris Considine – Zions
• Carolyn Bradshaw – LPL
• Chris Cassidy – LPL 

Our guests discuss how Zions as eliminated “fences” and climbed into the top 5% of NPS scores.

A big THANKS to LPL for again being a sponsoring partner on this episode.

In this episode we have a fascinating discussion on the journey to “One Wealth” and the related topics of teamwork, the client experience, compensation, technology, and related best practices. Our panel consists of the following:

• Rebecca Robinson – Zions Bancorporation
• Rhomes Aur – First Horizon
• Christopher Cassidy – LPL

In this episode we discuss aligning the proper dynamics for financial planning to have a significant impact on the quality of client relationships and the resulting business growth. We address user adoption, client engagement, plan delivery, and related best practices.

Our panel of experts includes:

• David Ellman – Team Leader, Bank of the West
• Robert Gewecke – Private Client Advisor, Bank of the West
• Angie Cheung – Private Client Advisor, Bank of the West
• Jen Shields – National Training Director, Midwood Financial Services
• Chris O’Malley – Regional Training Director, Midwood Financial Services

(Note that we had some audio challenges during the recording of parts of this episode. While a few segments have digital “embellishments” they are still perfectly understandable.)

In this episode we discuss what it takes to stay relevant in the wealth management space as acute technology disruptors, generational shifts, and quickly evolving client expectations present existential challenges.

Our panel consists of Mike Prior from Priority Financial Group, a third-party RIA, Jim Fujinaga from Hancock Whitney, and David Zimmerman, who ran the wealth program at Atlantic Union and First Citizens, among others. Discussion topics include the progression towards an RIA-like fiduciary model, engaging the next generation, building trust, and the importance of data in the evolution of our business.

This episode focuses on how to leverage the variety of LTC options to close the gap between those that have coverage, and those that need coverage. And doing it in such a way that positions you as a subject matter expert, helps educate your clients, and enables you to become a Trusted Advisor and grow your asset base. To do this we have assembled a group of subject matter experts from three different facets of our industry.

Four top women advisors discuss topics such as what has contributed to their success, advice they have for male advisors, advice for firms looking to hire more women advisors, and the importance of effectively attracting and serving the women’s market.

We would like to thank Raymond James for partnering with us to make this episode possible.