Financial Advisors

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

What’s stopping you from going Indy? Whether RIA or Hybrid, what are your biggest reasons for not exploring the possibilities? I’m trying to refine my conversations to better address concerns, particu… more

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Getting headhunted hardcore for a salaried banker position ($100k+ bonus) and right now I’m making $65-$70k as an FA in a development program. I’m hitting my tiers but I hate the program. This banker … more

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Looking for people who Have their series 6 & 63 or life Insurance licenses that is looking for a change or people that got licensed but not currently using it. Spare time, part time and full time … more

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What podcasts do you like for growing in business and/or learning more practical/advanced finance concepts?

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I am switching RIAs and now my background check is getting flagged by FINRA because I failed to disclose a credit card charge off that I settled for half the balance. Background check asked for a lett… more

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When an advisor leaves Edward Jones, typically how long would it take for them to come after me(sue me)? Left about 5 months ago and haven’t heard anything and have done everything right, but just see… more

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I am looking to drop my series 7 and join an RIA. I’ve finally accepted that the BD environment is a terrible fit for me. I would like to join an RIA team because I’m just over 5 years in and I would … more

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Best Direct Mail Company and why?

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Has anybody’s used CircleBlack for their technology platform and client portal? Seems very reasonably priced with awesome integration. Hoping to hear from someone who is currently using it.

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New producing FA fresh off of the Series 7 and 66. I understand this is a difficult field to succeed in and I am prepared to hustle. However, with social distancing in effect, it seems to be a uniquel… more

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Lots of RIA’s are hiring salaried advisors. What’s the average salary for a salaried advisor position?

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As a female advisor leaving the business after just 4 years, I wanted to share why I’m leaving and shed some light on why women are either not pursuing a career in this industry, or leaving.

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Anyone successfully break away investment business from MMLIS?

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If anyone needs a good laugh, I had a client ask me why his AAPL stock “tanked.” I tried to explain to him that there was a stock split and now you just have more shares than you did before. He goes:… more

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As I am in the transition process to another firm... will a ‘letter of warning’ be reported on my u5 ? I was told it would not... but wasn’t sure if anyone out there had a similar circumstance.

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Just lost out on two potential clients because they said they were concerned about how many clients I have. Currently have approx 250 households ( Ed Jones speak for mailing groups). I never thought t… more

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Anyone have insight to what a finance analyst role at Morgan Stanley would be like?

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Looking for referrals on affordable, competent TPAs for SoloKs over $250k and traditional unbundled 401ks. Looking for Illinois and SoCal, but if they are good I don't care where they are located… more

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I am looking into hiring Castor Abbott for their marketing services... anyone have any experience working with them?

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The CDC said: Table 3 shows the types of health conditions and contributing causes mentioned in conjunction with deaths involving coronavirus disease 2019 (COVID-19). For 6% of the deaths, COVID-19 w… more

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Client expects his wife to pass this weekend, but needs her monthly distribution to pay her home care bills, that come 2 months after service. Check lands on the 5th. As soon as I pass the death ce… more

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I have a 95 year old looking for help with $800,000 sitting in the bank. It will all be left to legacy (2 children). She’s too old for annuities and life insurance. Only option (for me s6&63) is m… more

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What programs or services do you all use to screen your mutual fund and etf lineups? Fi360, morningstar, and Blackrock all have great tools, what else is there?

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Hey guys. I’m in the Merrill and I make around $55-$60k. I’m being offered a role at Citi Private Bank and the salary is $90k with bonus. I’m considering making the switch b/c the payouts at Merrill s… more

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Let’s assume you had young clients who have a fully funded emergency fund and they got a $75k investment account dropped in their laps. They want to buy a house and liquidate the $75k to put...cont..

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For clients who are looking for online options to purchase life insurance (PolicyGenius), where have you been advising they start?

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Anyone else mad about the bad rep VAs have bc of fees? When I bring a client onboard into a VA it’s bc of the quality investments (MFs) and track record of the available funds. I focus on 12 funds and… more

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Hey everyone . Hope you guys are well . Anyone know much about Fisher Investments ? I am an established advisor at a large bank . Honestly getting tired of the bank getting in the way of wealth manage… more

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Female advisors (all ten of you) 😂 how’s it going out there?

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Junior advisors: How have you successfully made it onto a team at your firm? Did you offer to work their bottom clients? Did you come in with a niche market or network? I’m looking into joining a team… more

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What’s it like to work for JP Morgan Private Bank?

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A client asked me about getting a "Crash Contract". She heard about it from another Wealth Manager. What is a Crash Contract?

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Everyone has a different perspective on this but would love to hear yours. Someone has debt ranging say 4-5% interest rates. Do you attack debt more then investing to move towards a debt free life or … more

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With the ongoing pandemic, crypto currency trading has found a way to establish and solidify steady financial income for those that understand exactly how to Read and manipulate the Market. This pande… more

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Looking for some insight on solicitation of clients. Currently work for EJ and have plans to leave to another firm. Received assets through asset sharing plus brought on new clients. What’s the legal … more

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I’ve been offered a position with Fidelity as a Financial Consultant. I’d like to hear any pros or cons from anyone familiar with the position. Thank you!!

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Anyone purchase google ads to drive lead generation? It’s not cheap, but given the stay at home environment it’s worth a shot. Any thoughts?

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Hey fishbowlers! Question concerning compensation for an FA assisting the main advisor on a $135M book. I am doing a lot of the work now as he is going to retire in 4-5 years and he is taking a step b… more

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Time planning software- I have some clients who only do planning on an hourly basis. Is anyone using software to keep track of billables and if so which ones are good? I’m currently doing it by hand a… more

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Are there any funky rules or fees to be licensed in Wisconsin? I don’t want to have any surprises like I got when I got licensed in Tennessee! That privilege fee really puts a damper on things lol

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