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 like to have some mentors to continue learning from, but if I can’t find the right fit then my plan is to launch my own. Where to start looking for an established RIA? I have not completed my CFP yet.

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Maybe I’m wrong but I don’t think you can drop your Series 7 if you want to join an RIA?

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You don’t need a 7

Why would you drop it? I'm RIA and still have my 7. That way I can take over non-RIA accounts new clients have when they arrive.

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Are you an independent(1099) advisor already or an employee captured model advisor now?

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I’m an RIA and had no desire to get my 7. I know many that dropped it to avoid the compliance hassles as a registered rep. Maybe try contacting some large TAMPs that have RIAs as clients. They may know advisors looking to grow and mentor a younger IAR. Assetmark would be a great start. Starting from stretch is very difficult and expensive. You will need to live off someone else’s income while you build a fed only practice and have money to layout for rent, overhead, staff and marketing.

Where are you located?

OP - would love to chat with you. I have a lot of experience helping reps drop their 7s and some of the nuances therein. Drop me a line - david@thearcfirm.com.

Where are you located? I am looking for fa to join my ria for succession planning

I recruit for a hybrid RIA. Message me, I can help answer any questions you might have

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