Financial Advisors

How much should I expect to make as salary and commission as a Servicing Advisor? I am a CFP, series 7, 63, and 2life and health licensed in 15 states. I have 7 years experience working in finance.

Took a job at an independent firm and want to know how my comp stacks up to the industry.

Firstly, I'm not required to do any prospecting. The owner has a huge marketing budget, so there is a solid inflow of clientele. I… more

Advisor in the bank brokerage world. About $600k rolling 12 but not much of a portable book because bank clients are usually loyal to the bank. CFP & MBA, and working on CFA, passed level 1. Any s… more

Currently I work for Western & Southern which is a super captive agency. I am working on going to work somewhere else with more freedom.
I know all life business stays with them, I was told that th… more

Any advice for CFP? Provider? How long did it take to complete?

Knopman, STC, or Kaplan for the SIE?

I thought it would be a good idea to have a thread where everyone can post tips/tricks/knowledge that they wish they would have known when starting out as a financial advisor with no AUM.

Interested in taking the Series 9/10 and 24. I work for a B/D. My question is, can I personally purchase the study materials in advance and take the tests, considering I work for a B/D or would the B… more

Aside from the corporate Christmas note and/or box of chocolates, what is a small thoughtful gift you’d present to a client? Either long term or new whom you’ve really enjoyed doing business with.

Is there any negotiating with Edward Jones regarding starting salary for a new advisor? Or is it strictly 70% of your previous jobs income? What did you start out at and how quickly were you able to b… more

Does anyone have any recommendations for FA programs? I have reached out to BOA/ML and UBS but no luck so far there. I’m really interested in becoming an FA, so if anyone has any advice on where to lo… more

What are you most grateful for this year? Merry Christmas, and well wishes for a prosperous New Year!

Anyone else feel like the regulatory scrutiny in our business is getting worse by the day? Lately I feel like every move I make turns into an FBI interrogation for a suspected homicide. I know everywh… more

hired with the promise of equity but owner changed his mind and now wants advisors to sign agreements saying they won’t ever take clients with them- I hadn’t planned on ever leaving- we have all giv… more

Would you hire someone internally that interviewed poorly and was very nervous but is a well known top performer with solid recommendations?

Looking for financial advisors that can travel

Can everyone share what a 2 YOE CSA’s TC should be around? I have a CSA who just asked for $120k to $140k range at our year-end review. It was a bit shocking, but we are in a HCOL area (SF), so I was… more

anybody with experience as an FA at Baird?

Hello, I am a PM and FA at an RIA, and our primary custodians are Schwab and JPM. Recently, we've noticed an increasing demand from our Schwab clients, both domestic and international, for credit … more

Can you share behavioral questions for an interview for a financial advisor role? STAR method. Also case study prompt potentially

Planning on becoming a Certified Financial Planner at the American College of Financial Services. My question, is the place good? Or at least decent? Thank you in advance for the feedback.

Have a client whose spouse passed unexpectedly in early 40s and handled all of the finances for them. She asked about what to read so she can be more prepared for review meetings and if there are any … more

In recent months, I've been wanting to expand my efforts into LinkedIn. I see a lot of individuals that I want to college with or have worked with previously that are constantly changing jobs. Has… more

Accepted an offer starting 12/16 and seriously considering putting in my notice the Monday following Thanksgiving. I could use the mental break and time with family (newborn at home). Same role, just… more

Anyone clearing 500k plus with salary and variables able to share firm, independent or not, time frame to get there, pros and cons. Curious what top reps are doing.

What’s going on at Prudential?
I’m seeing some roles that seem very legit. I’m also seeing people who were working at very reputable firms have taking the move to prudential. I know of a young lady who… more

If you a financial advisor in a wells branch, please let me know your package. Things like salary (including your draw if you were one at some point), branch coverage, vacation time, etc. also, if… more

Currently an advisor at JP Morgan as a PCA. I just completed my first year in production starting at scratch and now at $18 million and will finish 2024 prob at $20 million given my current leads. My … more

Any Edward Jones new financial advisors here? How was it starting out?

I am currently at Merrill and have about 150mil aum and am being recruited by Wells Fargo Advisors. I’m tired of the merrill banking aspects and was told wells doesn’t push this. Payouts are higher to… more

With Merrill sunset program updates, is it worth joining and retiring at Merrill? What’s their pay for their CTP?

I am 35 years old with experience in retail management and sales. I got my SIE, and am looking to pass the 66 in 2 weeks. I am also a Certified Plan Fiduciary Advisor for employer retirement plans.

The job market … more

Has any Advisor experience working with a recruitment firm: Leah Yosef International?

Seeking a wealth management firm to join in Manhattan. I would look at the following opportunities:

Hybrid RIA or return to a wire house under the right circumstances including joining a team.
A leadership role of a tea… more

UBS made an offer:
200%
< 20% upfront

UBS is not in protocol.
Grid is terrible.

How negotiable is this?
Other thoughts?

In busy work, it is inevitable to encounter some frustrating things. I have decided to adjust my mindset and seek new opportunities through fulfilling my side job! If you have similar ideas, welcome t… more

Hi guys! Just wondering how's the switch from retail banking to insurance? I am ready to give any certifications needed. I work as a customer facing Advisor. Tbh there's no growth in TD and I&… more