Category Archives: Uncategorized

Episode 60 – Data and Intelligence Trends Shaping the Wealth Industry – With Farouk Ferchichi

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Farouk Ferchichi is the Global Head of Data and Analytics at Envestnet, a company whose mission is to empower advisors and financial service providers with innovative technology, solutions and intelligence to make financial wellness a reality for everyone.

Doug and Farouk sat down at the Envestnet Advisor Summit and talked about the importance of hyper personalization in service in order to please clients and prospects. They also discuss

  • The difference between hyper personalization and personalization
  • How to meet people’s ecological and environmental concerns
  • How to react to the current speed of technological growth
  • What two considerations are most crucial when collecting and using data
  • What Envestnet is doing to expand their DNA footprint

Resources: Envestnet 



Episode 59 – The CMO Series – Drivers of Revenue – With Mary Ellen Dugan

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We’ve added a new focus within this podcast –  The CMO Series – Drivers of Revenue – to learn more about how people who run marketing departments got to where they are, how marketing has evolved and what the future holds for this important element of company success.

Mary Ellen Dugan is the CMO at Envestnet, a company whose mission is to empower advisors and financial service providers with innovative technology, solutions and intelligence to make financial wellness a reality for everyone.

In today’s episode, Doug and Mary Ellen talk about what it truly means to be a chief marketing officer. They also discuss:

  •       What inspired Mary Ellen to become a CMO and how she gathered her necessary skill set
  •       How she successfully meshes marketing with sales
  •       What has changed over the past two years for Envestnet and how has the focus shifted
  •       How people who are being targeted perceive targeted marketing
  •       Mary Ellen’s philosophy when it comes to marketing and connecting with clients and prospects
  •       And the quick fire questions: Does marketing have to be expensive?  What makes marketing powerful? What makes how she markets unique?

Resources: Envestnet 



Episode 58 – The CMO Series – Drivers of Revenue – With Becca Zophin

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We’ve added a new focus within this podcast –  The CMO Series – Drivers of Revenue – to learn more about how people who run marketing departments got to where they are, how marketing has evolved and what the future holds for this important element of company success.

Our first guest is Becca Zophin, CEO of Integrated Partners and InTouch Innovations. Integrated partners has been helping financial advisors achieve their entrepreneurial vision since 1996 by offering comprehensive business building services. InTouch Innovations has been the marketing partner of choice for financial planners, small business owners, professional practitioners, and leaders of some of the most important nonprofit organizations in the country since 2000.

In today’s episode, Doug and Becca talk about her journey through financial services marketing and how the role of marketing has evolved. They also discuss:

  • How Becca decided marketing was her career path & how she built the toolkit required to be a CMO
  • What she has learned from staying with Integrated Partners for so long
  • How marketing helps Integrated Partners compete for advisors
  • How she decides on the unique recipe for marketing success for each advisor she works with
  • How she manages her advisors to make good choices
  • And the quick fire questions: Does marketing have to be expensive? What makes marketing powerful? What makes how she markets unique? 

Content in this material is for general information only and not intended to provide specific advice or recommendations for any individual. Securities offered through LPL Financial, Member FINRA/SIPC. Investment advice offered through Integrated Partners, a registered investment advisor and separate entity from LPL Financial. Becca Zophin is the Chief Marketing Officer with Integrated Partners, and with InTouch Innovations and not affiliated with LPL Financial.

Resources:  Integrated Partners | InTouch Innovations



Episode 57 – Get Out of Your Comfort Zone to Build Your Future – With Danielle Mariano

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Danielle Mariano of DeFreze Financial Services and Kingswood U.S. is part of the next generation of financial advisors stepping up to lead their firms into the future. 

In today’s episode, Doug and Danielle talk about her professional evolution, what it’s like to become the succession plan for a firm, and how she knew she needed a new broker-dealer to help her evolve her business to its next phase. They also discuss:

  • How Danielle got drawn into financial services and learned to run an advisory business from the ground up
  • How her former role as an athletic coach has helped her in working with clients and managing a business
  • Why she finds being a female advisor a huge advantage 
  • Why she sought out a new broker-dealer, and what her search process looked like
  • How partnering with Kingswood U.S. has helped her manage and grow her business
  • What the future looks like for her and her firm

Resources: DeFreze Financial Services | Kingswood U.S.



Episode 51 – There’s No Option but Success – With Michael Nessim

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Michael Nessim is the Chief Executive Officer and Managing Partner of Kingswood U.S., one of the fastest-growing advisor platforms in the country. In this episode of Permission to Succeed, learn how his early experiences led to his belief that there was room for a new broker dealer, and how his conviction that, for him, there was no option but success drove him to build the partnerships required to grow and evolve his business. 

Resources: Kingswood U.S.

Episode 50 – Manage Your Clients’ Assets With Intention – With Luke Winskowski

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Luke Winskowski is Head of Thrivent Advisor Network, a hybrid RIA platform launched in late 2019 that works with advisors interested in aligning their clients’ resources with their values. He is one of WealthManagement.com’s 10 to Watch in 2021.  In this episode of Permission to Succeed, he and Doug Heikkinen discuss how financial advisors have responded to and evolved as the COVID-19 virus forced acceleration in all areas of their business.  They also discuss:

  • Existing in the world of being remote
  • Key trends in 2020 that will drive action in 2021
  • What a purpose-driven advisor is, and how they add value to their clients’ lives
  • How mentors and personal stories have shaped Luke and his career in financial services
  • Why Luke is excited for 2021
  • Advice Luke has for those just starting out in financial services

Resources: Thrivent | Thrivent Advisor Network 

Episode 49 – Financial Advisors Should Bet on Themselves – with Mike Hlavek

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Mike Hlavek is the Chief Operating Officer and Founding Partner of Concurrent Advisors, an advisor-owned partnership of independent advisors affiliated with Raymond James Financial Services, Inc., who work together to realize a common vision of creating a superior client experience while growing their own practices. 

In this episode of Permission to Succeed, he and Doug Heikkinen discuss why Mike created Concurrent and what is driving the amazing growth of their collaborative network of advisors. They also discuss:

  • How the Concurrent model supports its advisors’ businesses
  • Why we are seeing so many advisors moving seats and/or breaking away this year
  • Three things advisors should consider as they start the process of breaking away
  • Mike’s advice for anyone starting out on their own

Resources: Concurrent Advisors

Michael Hlavek
Financial Advisor, RJFS

Raymond James is not affiliated with and does not endorse the opinions or services of Permission to Succeed or Doug Heikkinen. Opinions expressed in this podcast are those of the speaker and are not necessarily those of Raymond James. All opinions are as of this date and are subject to change without notice.

Episode 48 – Achieve Balance by Firing Yourself – With Julia Carlson

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Julia Carlson is the founder & president of Financial Freedom Wealth Management Group, which she founded at 23. In this episode of Permission to Succeed, she and Doug Heikkinen discuss how she grew Financial Freedom into a multi-million dollar business, and how a family emergency forced her to let go, trust her team, and learn how to create boundaries to achieve work/life balance.  They also discuss:

  • The importance of investing in yourself to drive personal and professional growth
  • How creating a niche target audience can allow your firm to really focus and develop deep expertise
  • How Financial Freedom has reinvented their digital client journey in the COVID era to continue to bring in new clients
  • The importance of having confidence & listening to your inner compass to find the next right step for you

Disclosure: Securities and Advisory Services offered through LPL Financial, a Registered Investment Advisor. Member FINRA & SIPC.

Financial Freedom Wealth Management Group, LLC is a member of the SmartVestor program. The SmartVestor program is a directory of investment professionals. Neither Dave Ramsey nor SmartVestor are affiliates of Financial Freedom Wealth Management Group or LPL.

Resources: Financial Freedom Wealth Management Group

Episode 47 – Turn Your Failures Into Strengths with Brandon Hernandez

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Food safety and the food supply chain are things we are all thinking about more often. Brandon Hernandez is a co-founder of Whole Brain Consulting and has decades of experience in the food supply chain services industry.

In this episode of Permission to Succeed, Doug Heikkinen and Brandon discuss how people work to keep the food supply chain safe, other trends within his industry, how he helps others evaluate and invest in opportunities, and advice that Brandon has for entrepreneurs.

  • How demand skewed the food supply chain at the beginning of COVID-19, and how businesses were forced to respond
  • How current space allocation on trucks to meet demand is going to affect small brands going forward
  • How the caloric density of nutritional food is going to drive food development as the population continues to increase
  • How Whole Brain Consulting works with private equity firms to evaluate potential investment opportunities in this industry
  • Brandon’s tips for moving past a “plateau phase” to grow a sustainable, thriving business

Resources: Whole Brain Consulting | Whole Brain Twitter Feed

Episode 46 – Stay Humble & Play Your Role – with Derek Bruton

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As a former collegiate & professional basketball player, Derek Bruton, the new CEO of Kingswood Holdings, U.S., understands that everyone on a team plays a specific role to drive its success. The challenge is to deeply understand your role and have the humility to play it to the best of your ability. 

In this episode of Permission to Succeed, Doug Heikkinen and Derek also discuss working from home, actions he thinks financial advisors should be taking, and how to put lessons learned into action in the time of COVID-19.

About Derek Bruton:

Derek Bruton is CEO of Kingswood Holdings U.S. He brings a unique combination of M&A, RIA, RIA custodian, and B/D experience to the financial advisors he serves at Kingswood. 

A proven strategic and sales leader in the financial services industry for 30 years, Bruton has served in executive positions with leading RIA custodians such as Charles Schwab, TD Ameritrade, and LPL Financial.  He has led the recruiting of over 5,000 financial advisors in his career, and has assisted with the strategy and growth of over 15,000 advisor businesses. 

Bruton graduated from Stanford University, and has completed executive business management course work at Harvard University.  He lives in San Diego, CA with his wife, Helen, and their two girls.  Bruton played collegiate basketball for Stanford, and professional basketball in Japan.  He has FINRA licenses 7, 8, 24, 63, and 65.

 

RESOURCES: Kingswood Group