As a coach, consultant and facilitator, I specialize in working with financial advisors and financial advisor teams. I also work with attorneys and business owners — which provides valuable perspective from other industries. My primary objective in working with my clients is to optimize individual and team performance, improve productivity, increase profitability, and enhance life/work balance. My work with clients centers on the core areas of their people and their practice. From a people perspective we work to identify and develop the best available talent — that also represents the most suitable match for the partners and staff that will comprise the team. From a practice perspective, our focus is on developing a replicable, scalable, profitable, and ultimately salable business.
Prior to starting my own coaching and consulting business, I was a 23-year veteran of the financial services industry. The last 17 years were with a fortune 100 recognized company, where I developed and managed a highly successful financial advisor teams program. I also focused on training and development in the areas of private wealth management, sales, and sales management. I’ve trained and coached thousands of financial advisors during the various stages of initial team formation, compensation negotiation, role and responsibility identification, intra-team dynamics, new business development, and succession planning.
I’ve devoted the better part of the last decade to the comprehensive development of successful, sustainable financial advisor teams. Creating a successful, sustainable team is part art and part process — and having well over 10,000 hours devoted to this niche I’ve coached and supported hundreds of teams experiencing every conceivable team issue. In the five years prior to starting my business, I created and managed a financial advisor teams program that resulted in a dissolution rate of less than 3% and average production growth of 20%. As a result,
I am further available for consultation to financial services organizations looking to create a comprehensive financial advisor teams program.
In over a decade of specializing in financial advisor team development I have positioned myself as an ongoing strategic partner to my clients. The following describes my ideal clientele.
- Individual advisors who are considering team formation but are unsure of how to proceed. If you would benefit from a comprehensive evaluation of your opportunity, my Team Synergy Exploration process will provide the due diligence necessary to make the right decision.
- New teams that wish get off to a strong start. If you would like to expedite and enhance the success of your collaboration by creating a solid foundation of teamwork and integrated practice management then contact me to discuss my Team Synergy Creation program.
- Experienced teams that are interested in taking their practice to the next level from a people/talent perspective, and a practice management perspective. If this describes your team my, then Synergy Success Strategies is a coaching engagement that will help you achieve your next level of success.
- Teams that are experiencing issues with communication, teamwork, and/or practice management.
- Individual advisors or advisor teams seeking support in developing their succession plan.
My core business beliefs include the following:
- Teams of advisors with complimentary skill sets are much better positioned to serve the complex needs of the high net worth client.
- Forming and developing a successful, sustainable financial advisor team is both an art and a science – and is ideally supported by a proven process of evaluating and optimizing the opportunity, the practice, and the people involved.
- The most successful teams run their practice like a business – a business that is replicable, scalable, profitable, and ultimately salable.
- Being part of a team is not always easy – and even the best of teams struggle from time-to-time. In addition to external stressors like the markets, internal issues can arise from a lack of: communication, team direction, team member contribution, and productivity.
- The majority of struggling teams are salvageable – and a team will often emerge stronger and better positioned for success after working through their difficulties.
- Due to the nature of my business and the support I provide my clients, client confidentiality is paramount. I do not believe in revealing the names of my clients or their organizations — including within testimonials. However, client references are available upon request.
Testimonials for Carol Moser:
- Carol is able to take a group of individuals and assist them with building a high functioning Team. She is a very hands-on consultant. Our Team now has a much better understanding of our individual best fit, and most effective roles on the Team. Carol has assisted us with building direction and process to achieve our goals. We are now to the point where our processes are documented and repeatable. I would highly recommend working with Carol. John, Sr. VP and Team Leader
- Carol has been such a great help to myself and my team! She has an amazing ability to provide insight, direction and focus to areas in our business that we have previously struggled with. Every call we have had has resulted in more clarity. For anyone that is truly interested in bringing more definition to their practice, we would highly recommend utilizing her services! Catina, Financial Advisor, Team of 3
- Carol adds value not only through her pure coaching ability, but also by educating us and initiating me with the “Go” System. She is available to talk about tertiary issues that impact the attainment of our goals…personal and professional goals. Way to go Carol…thanks for your help. Howard, Sr. VP and Partner
- Carol’s system is thorough and highly beneficial. She is a gifted coach and effectively got us out of our comfort zones….without making us uncomfortable! Our team emerged from our engagement with Carol more cohesive based on a deeper understanding of our individual strengths and desires. Robert, Financial Advisor
- Carol helped us recognize, coordinate and streamline the value we bring to people’s financial life. Her coaching and positive energy at every session, pushed us to the next level individually and as a team in our business. Wealth Management Team of 6
- Our financial advisory group has relied on Carol’s coaching expertise for over 5 years and she’s become a vital part of our strategic execution. Her ability to gain an understanding of the objectives we’re working at any given time allows us to use her as an instrumental part of our team. Mike and Kevin, Financial Advisors Partners
- I wanted to follow up from my last coaching session with you. I wanted to drop this note of thanks. I finished this last year as a personal best. Not only do I have more millionaires in the pipeline than I ever had the new account openings have invigorated me with excitement. I really appreciate the practice management advice in addition to the new business development that we originally started coaching for. I feel my assistant and I are focused for the new year with the most positive attitude we have had together in a while. Derek, Sr. VP
- I have never met anyone with your skill set at any other firm! Keith, Regional Director