Tag Archives: #DougHeikkinen

Episode 70 – From Shiny Objects to Solid Strategies with Mike Nakanishi

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Mike Nakanishi is a seasoned advisor based in Honolulu, Hawaii, currently bringing his skills to Kingswood Wealth Advisors LLC.

In this podcast, Michael delves into his 20-year career, revealing major industry influences, the challenges faced by investors, and his unwavering passion for helping clients succeed in their financial endeavors.

They also discussed:

  • The major influences in Michael’s career, such as co-workers, managers, industry events, and clients, and how these experiences transformed his perspective and practice.
  • How Mike has adapted his business over the years to meet the evolving needs of clients.
  • Understanding client’s relationship with money, emphasizing the importance of full disclosure and realistic expectations.
  • The benefits and drawbacks of being an independent financial advisor, compared to being an employee in a larger financial institution.
  • The significance of record-keeping, organization, and calendar management in effectively managing a financial advising business.
  • His recent move to Kingswood Wealth Advisors LLC and the factors that led him to join a new firm.

 

Resources: 

Kingswood U.S.

Episode 69 – Caught on the Border of Fraud and Financial Success – With Carlos Legaspy

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Carlos Legaspy is the Founder and CEO of InSight Securities, a full spectrum international brokerage and money management firm that has been providing investment services to high net worth individuals retirement, corporate and trust accounts since 1970. Legaspy is also an author of the book “Going for Broke,” a story from his own account of how one of Latin America’s largest financial frauds became a blessing in disguise.

In this podcast, Doug and Carlos discuss Legaspy’s journey through the financial industry as he navigated fraud claims, created his own firm, and found success at the end of it all.

They also discussed:

  • Carlos’ background growing up on the border of the US and Mexico
  • The barriers faced and lessons learned from his time on Wall Street
  • Why the business of investment services is like a game of chess
  • The journey of working to create one’s own firm
  • The Latin American markets, and the opportunities in that region
  • The story of the ponzi scheme Carlos found himself directly in the middle of
  • The ramifications of this journey to Carlos and InSight Securities

Resources: InSight Securities

 

Episode 68 – Managing the Seasons of Life With Regina Faison

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Regina Faison is the owner & CEO of Faison Wealth Strategy, an advisory firm focused on helping clients manage the seasons of their financial lives. Her story of putting her & her children’s lives back together after her husband passed away unexpectedly gives her a unique perspective and an uncanny ability to empathize with her clientele. 

In this episode, Doug & Regina discuss her journey – both into financial services and after the passing of her husband.

  • What led her to financial services, and what was it like to be a woman working for a wirehouse
  • How she got herself & her children through the dark years, with all them re-emerging stronger and more resilient
  • How her experience gives her a unique perspective when working with her clients
  • Why she founded the Derrick Faison Foundation, and how it aims to make a positive difference in the lives of families by reducing the number of deaths each year from Sudden Cardiac Arrest and by empowering youth and young adults to reach their highest potential in life.
  • Why she chooses to work with Kingswood U.S
  • What she is excited about in the future, both for her firm and for herself.

Resources: Kingswood U.S. | Faison Wealth Strategy | Derrick Faison Foundation



Episode 67 – The CMO Series – Drivers of Revenue: Kimberly Beck

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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.

Kimberly Beck is the CMO at YieldX, a platform that empowers financial services firms to expand their fixed income product offerings, broaden their customer base, drive revenue and improve investor outcomes.

In today’s episode, Doug and Kimberly talk about the importance of marketing and what it means to be a Chief Marketing Officer. They also discuss:

  • The important role of being a CMO for the customer
  • How Kimberly’s past experiences prepared her to become a CMO
  • The transition Kimberly faced from leading a large company to a small startup
  • How marketing for enterprises versus marketing to advisors differs
  • Kimberly Beck’s philosophy for helping others succeed in the industry
  • How she successfully meshes sales, product and marketing
  • And the quick fire questions: Does marketing have to be expensive? What makes marketing powerful? 
  • What outside of our industry catches her imagination in terms of great marketing? What makes her marketing unique?

Resources: YieldX



Episode 66 – Have the Courage to Bet on Yourself – with Ashley Webb

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Ashley Webb is the Director of Operations & Onboarding at Kingswood U.S., an SEC-registered RIA and a FINRA-licensed broker/dealer that offers comprehensive wealth management and business-building services designed specifically for the independent financial advisor. 

Ashley rose quickly into a leadership role with Kingswood.  In this episode, Doug & Ashley talk about how her upbringing, her experience as an athlete, and the fact that she fell in love with New York City on a college service trip all combined to give her the strength to pack two suitcases a book a one-way ticket to New York to start a new life. The rest, as they say, is history.

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