Tag Archives: #PermissiontoSucceed

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

August 8, 2023Financial, Investing, Permission To Succeed, Uncategorized#Advisorpedia, #Clients, #DougHeikkinen, #FinancialAdvisors, #investors, #Kingswood, #MikeNakanishi, #PermissiontoSucceed, #wealthmanagementJulia Smollen

Podcast: Play in new window | Download | Embed

Subscribe: Spotify | Email | TuneIn | RSS | More

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

November 7, 2022Financial, Investing, Permission To Succeed, Uncategorized#Advisorpedia, #CarlosLegaspy, #DougHeikkinen, #InSightSecurities, #InvestmentServices, #MoneyManagement, #PermissiontoSucceedpermissiontosucceedpodcast

Podcast: Play in new window | Download | Embed

Subscribe: Spotify | Email | TuneIn | RSS | More

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

October 31, 2022Financial, Investing, Permission To Succeed, Uncategorized#Advisorpedia, #DerrickFaisonFoundation, #DougHeikkinen, #FaisonWealthStrategy, #FinancialAdvisors, #PermissiontoSucceed, #ReginaFaison, #Resiliency, #wealthmanagementpermissiontosucceedpodcast

Podcast: Play in new window | Download | Embed

Subscribe: Spotify | Email | TuneIn | RSS | More

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

September 29, 2022Financial, Investing, Permission To Succeed, Uncategorized#Advisorpedia, #CMOSeries, #DougHeikkinen, #FinancialAdvisors, #KimberlyBeck, #Marketing, #PermissiontoSucceed, #YieldXpermissiontosucceedpodcast

Podcast: Play in new window | Download | Embed

Subscribe: Spotify | Email | TuneIn | RSS | More

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

September 20, 2022Financial, Investing, Permission To Succeed, Uncategorized#Advisorpedia, #AshleyWebb, #Courage, #DougHeikkinen, #FinancialAdvisors, #FinancialServices, #KingswoodUS, #PermissiontoSucceedpermissiontosucceedpodcast

Podcast: Play in new window | Download | Embed

Subscribe: Spotify | Email | TuneIn | RSS | More

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 64 – A Purposeful Approach to Client Management – With Rikin Patel

August 5, 2022Financial, Investing, Permission To Succeed, Uncategorized#Advisorpedia, #ClientManagement, #DouglasHeikkinen, #FinancialAdvisors, #Future, #Insurance, #KingswoodFamilyOffice, #KingswoodUS, #PermissiontoSucceed, #RikinPatel, RIAspermissiontosucceedpodcast

Podcast: Play in new window | Download | Embed

Subscribe: Spotify | Email | TuneIn | RSS | More

Rikin Patel is the Co-Founder of Kingswood US’s Family Office, who has been helping financial advisors surpass their business and personal goals while reaching their entrepreneurial dreams through comprehensive wealth management and business-building services.

In this episode, Rikin joined Doug to talk about his journey to becoming an advisor, his approach to client management and how he approaches integrating insurance in his clients’ accounts.

They also discussed:

What influenced Rikin while growing up that led him to becoming a CPA
His revelation of wanting to help clients in a different way than other advisors
How he views accumulation and deaccumulation in a client’s lifecycle
Why insurance plays a significant role in his client management
His experience at firms along his career, deciding to join Kingswood, and why the family office is special
What Rikin is excited about at this point in his career

Resources: Kingswood US, Kingswood Family Office

Episode 62 – The CMO Series – Drivers of Revenue: AJ Boury

June 27, 2022Financial, Investing, Permission To Succeed, Uncategorized#Advisorpedia, #AJBoury, #CMO, #DouglasHeikkinen, #FinancialAdvisors, #Marketing, #PermissiontoSucceed, #Startups, #theCMOSeries, #TIFIN, RIAspermissiontosucceedpodcast

Podcast: Play in new window | Download | Embed

Subscribe: Spotify | Email | TuneIn | RSS | More

AJ Boury is the Chief Marketing Officer at TIFIN, a financial service creating engaging wealth experiences to improve financial lives through AI and investment intelligence driven personalization for the advisor and self-directed investor, recognizing the uniqueness of each investor.

In this episode, AJ joined Doug to talk about what it means to be a CMO in the modern world of integration and startups. They also discussed:

How AJ set his sights on being a CMO and gained his valuable skillset
What the marketing departments were like at his previous companies
The transition from working at large businesses to joining a startup
How to manage the pie of the digital world, competition, and growth after COVID
How to effectively mesh sales and marketing
And the lightning round: Does marketing need to be expensive? What makes marketing powerful? Where can we find great marketing outside of his industry? What makes his marketing unique? Is “The CMO Series – Drivers of Revenue” an appropriate title?

Resources: TIFIN

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

June 9, 2022Financial, Investing, Permission To Succeed, Uncategorized#Advisorpedia, #CMO, #DouglasHeikkinen, #Envestnet, #FinancialAdvisors, #fintech, #Marketing, #MaryEllenDugan, #PermissiontoSucceed, #theCMOSeries, RIAspermissiontosucceedpodcast

Podcast: Play in new window | Download | Embed

Subscribe: Spotify | Email | TuneIn | RSS | More

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

April 22, 2022Financial, Investing, Permission To Succeed, Uncategorized#Advisorpedia, #BeccaZophine, #DouglasHeikkinen, #FinancialAdvisors, #Finserv, #fintech, #Intention.ly, #Marketing, #PermissiontoSucceed, #theCMOSeries, RIAspermissiontosucceedpodcast

Podcast: Play in new window | Download | Embed

Subscribe: Spotify | Email | TuneIn | RSS | More

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 55 – Recruiting a Diverse Next Generation of Advisors – With Kate Healy

January 7, 2022Financial, Investing, MarketCounsel Summit, Permission To Succeed#Advisorpedia, #Careers, #Diversity, #DouglasHeikkinen, #FamilyOffice, #FinancialAdvisors, #Inclusion, #KateHealy, #MattHalloran, #PermissiontoSucceed, #WomeninWealth, RIAspermissiontosucceedpodcast

Podcast: Play in new window | Download | Embed

Subscribe: Spotify | Email | TuneIn | RSS | More

Kate Healy is a leading marketing professional and advocate for diversity and inclusion – particularly for women – within the financial services industry.

In this episode of Permission to Succeed, guest host Matt Halloran talks with Kate about who she is, what she does, and where she sees financial services going from here. They also talk about her work to attract a diverse population into our industry and some resources available to help people who want to learn more about joining.

Resources: Kate’s list of Associations for Diverse Professionals | CFP Board Financial Planning Career Paths | CFP Board Guide to Careers in Financial Planning | FP Transitions