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The 10 essential qualities an advisor must possess to become an 'ethotic' leader in these days of roiling markets

Why? Because it's time for the industry to accept that consumers will never care about suitability vs. fiduciary and recognize that they're hungry for leadership

Author Guest Columnists Don Trone, Mary Lou Wattman and Steve Branham August 26, 2015 at 2:59 PM
1 Comment
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Don Trone: Because ethotic leaders tend to have a broader view, they are able to keep a better sense of perspective in the face of adversity.

RIA Compliance

Stephen Winks

Stephen Winks

August 26, 2015 — 4:42 PM

If the values cited by Don were applied within the industry, fiduciary duty would be its driving force. Conflicted industry self interest has come at the cost of the loss of trust and confidence of the investing public. The professional standing of the broker when rendering advice is actually opposed by the industry’s compliance protocol. The inauthenticity in the industry’s support of the best interests of the investing public discourages and often penalizes those in management who exhibit the leadership traits cited. The question is raised of whether leadership in advisory services is possible in a brokerage format, especially given the industry’s demonstrably false narrative in opposition to the broker’s fiduciary duty (to act in the client’s best interest). Wouldn’t it be great if the industry exhibited the leadership qualities described.

Stephen Winks

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