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Financial Advisors

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A community for Financial Advisors, Financial Planners and Wealth Managers both independent and within companies.

How many % do you get to save per pay check? Pre and post COVID? Curious if age/YOE or location matters

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Merril lynch or chase private client , which one do you pick if you have 500k for investment.

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Looking for any reps who are looking to make a change of a broker / dealer to become part of my OSJ. Attractive payout and marketing support to support your business.

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New clients found and signed virtually don't feel as real.

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Interns? Share your success story on how they helped you prospect or bring in new clients.

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Today is of those days where motivation is at an all time low with thoughts of ‘am I crazy’, ‘what’s wrong with a 9-5 anyway’ and ‘is this even worth it’ on repeat. How do you deal with days like thi… more

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Hi everyone, this is a question on Health Spending Account. Does the UK have a health spending account like the US, where, similar to a Roth or ISA, the money you put in this account will not be taxe… more

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What is the best way to find new clients during these times that aren't referral based? I used to rely on networking events and meeting people face to face, but with the current environment that i… more

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What is you ROA on your total asset base? I’m currently at 82bps.

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If anyone is interested eliminating the IFs in their employee model practice let chat. I’ve been consulting advisors for the past 10 years on ways to dominate the IFs. Doing so creates consistency … more

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8 yrs in the business and my take home pay is around $130k but I run my own book and on no salary. I’m being offered a salary position at Citi to be a private banker for $150k + bonuses... Would you j… more

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Doing gift bags for top 75 clients. I want to do something extra for top 10. What are some good gift ideas around $25 for them?

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Is there anyone out there who still stock picks for his clients? Everyone tells me I’m crazy for doing it no one does that anymore. Just for context I’m not a newbie- my AUM is over $300mm and I’m up … more

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How can I pivot into advising from a career in accounting?

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What would you charge a client with a total of $8m in assets, of which $4.9m is in advisory, $2m in brokerage and the rest in annuities? Curious to see what the average is

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Transition from agent/RR to FA? Interviewing now... what questions should I be asking? And, my production is down 50% vs YAG so would I be at a disadvantage economically if I move now... or should I … more

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Oechsli???? Anyone used them for coaching or video editing? Reviews please.

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Curious what everyone’s bonus structure for their admin staff is like this year? Obviously a crazy year and they came in almost every day among everything has happened and has done quality work. Do yo… more

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Any advice for someone in the middle of a merger?

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I want to hire an associate advisor who will also be my successor. I manage anout 77 mln. I want experience, their own book, willing to work with me on a couple of growth projects that I want to do,… more

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If there was ever a place I guess this is it. Any words of advice or ideas for someone who went to a wire house instead of independent and now regrets it. Is it just wait out your contract or are the… more

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Has anyone made the transition from Edward jones to wire house and if so, would you do it again? For context I'm exploring Morgan Stanley, Merrill, and UBS. 3 years at Jones, roughly 27 mm (had 2m… more

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What is your favorite “recovery” investment?

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For those of you who have the AIF or AIFA, how difficult was the process and exam? Has it been a worthwhile designation?

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Is there a entry-level FA or associate position out there, that offers at least an initial salary? Everything I see is full commission which I understand but what about the ones looking to learn their… more

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I’ve been working at a commercial bank for 2 years now and can’t seem to get traction bringing in new deals. I’m not exactly the happiest employee these days. Is it worth applying to other jobs? Cont.

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Met with a prospect earlier this year. He decided to go a different route. No big deal. He emails me today asking if I can notarize his rollover paperwork because the bank is closed and his new fir… more

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Anyone know much about, or have experience in, Chase private Client banker role?

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Tips for effectively dealing with job burnout?

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What do you do with small account referrals? We have been searching for an advisor to take on our small clients and can’t find anyone we have enough confidence in. We have set some people up at vangua… more

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Symbol VXX: I’m wondering if this position is considered inverse or leveraged by you all? Why or why not?

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Who pivoted from consulting to a career in financial advising? A recruiter reached out to me and I’m interested but feel like it’s a big leap of faith without much info

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For every prospect meeting or call (not a cold call, an actual scheduled call) how many of them actually become clients? I’ve had a combo of 12 meetings over the last 2 weeks and only one is becoming … more

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Genuinely curious to hear others thoughts...if you make $400k plus...did you vote with taxes/pocketbook in mind, character, or something else?

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For those of you that are CFPs, how did you study/manage your study schedule while working full time?

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I got used to working from home. I just moved and haven't had internet for 2 weeks. I've had to start commuting to the office again for internet. I now realize what a waste of time a commute i… more

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How do you turn IT off? I’m 10 years in, this is by far my best year yet, income around $200k, no debt but the house, living in Central IL, life is GOOD. All this, but I can’t seem to stop thinking ab… more

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I am seeking Financial Advisors with established books who would like to explore independence. Independent Registered Investment Advisors (RIAs) are professional independent advisory firms that provid… more

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I don't have anyone else who gets this, but I hit my personal goal this year in almost every category; revenue, income, AUM growth, etc. Our fiscal year ends in October and I ended the year with a… more

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Is it bad that I met with a prospect with $10 million to invest and he asked me to match his quote from another firm to manage for 10 basis pts and I turned him away? I really don’t want clients like … more

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