Katherine Vessenes is “America’s
Leading Authority on Building the
Multimillion-Dollar Practice according to Dearborn Press,
The Creator of the No-Sell Sale™, Katherine uses her
personal experiences as a top financial advisor and
consultant to help her audiences achieve an easy,
almost effortless sale. “We have a bumper-to-bumper
approach for transforming a practice into a
business. Her success with this system helped her
become a
well-known industry leader on making your practice
more profitable, attracting more clients, and
staying out
of trouble at the same time.
Katherine is also a nationally known expert on the
legal, ethical and compliance issues facing
financial advisors. She is fond of saying: “I have
never seen a compliance regulation that we couldn’t
turn into an marketing advantage.”
After getting her securities, RIA and insurance
licenses in 1984, Katherine left personal financial
planning in 1989 to become Vice President and
Officer of the IDS Mutual Fund Group (now Ameriprise)
where she was
legal counsel to Gerald Ford, and
other Fortune 20 CEOs. Later she created two ethics
programs for advisors with American Express, in
conjunction with the ICFP. She has also served on
the CFP® Board of Ethics and Professional
Responsibility and for two years consulted with a
large broker/dealer on standardizing her
“No-Sell
Sale” system across their sales force.
In addition to running her own business, Katherine
is an attorney, popular industry consultant and has
authored three books: Protecting Your Practice, The
Compliance and Liability Handbook, and the just
released: Building Your Multimillion-Dollar
Practice, which she co-authored with her husband and
business partner, Peter Vessenes.
“Katherine Vessenes is America’s best known
authority on
the legal, ethical and compliance issues facing
financial advisors.” Bloomberg
Click on the cover
above to
download the complete report
The 2007 Financial
Advisor Scorecard Report contains
original data collected by Vestment
Advisors, Inc. from 104 financial advisors
within several segments of the financial
services industry.
For more
than 20 years, Katherine Vessenes and Peter
Vessenes have worked with thousands of
financial advisors, brokers, and planners,
to help them advance their business
practices.
They have
seen it all. Advisors who are terrific
financial planners, but are deficient at
their own business’ fiscal management. Those
who are terrific at monitoring the risk of
their clients, but are not paying attention
to their own risk and compliance issues.
This
“scorecard” analyzes these vital areas to
see how advisors stack-up compared to
others. These practices cover the spectrum
of the planning industry.
Click the cover above to
download the complete report
The 2007 Financial
Advisor Compliance and Legal Concerns Survey
Report contains original data
collected by Vestment Advisors, Inc. from
financial advisors within several
broker/dealers during the first quarter of
2007. We hope you enjoy perusing the data
collected from the survey and find the
information useful.
Katherine
Vessenes has worked with thousands of
financial advisors and hundreds of broker
dealers over the last 20 years. She has
found compliance issues are one of the top
two concerns of financial advisors and
broker/dealers alike.
Personally, I think it is time to make
compliance easier and more effective. I
believe, after looking at the results from
this survey, the industry agrees with me.
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