I have been in client facing wealth management as an advisor for 10 years. I haven’t built a book of business because I’ve worked for mostly discount brokers (Merrill edge, TDA, Etrade). I want to know how to transition to a non client facing role in wealth management or another financial role. I am series 7 and series 66 licensed. Any thoughts?

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Are you at E*trade now? Can you inquire about a transition to Morgan Stanley?

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Not currently at etrade but I have contacts. They pretty much made the financial consultants a referral channel to the FAs with MS.

What would you think of a paraplanner role? Compliance maybe? Analyst?

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If you’ve been client facing you definitely have experience in both planning and compliance, even if only tangential to your core responsibilities. Talk to your compliance manager or planning team for an informational interview. You got this!!

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Skill Set-
Skill Set .
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Got dressed up and took myself out to dinner at a nice French restaurant. Good start to the weekend 😊.

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Looking forward to checking this out with my better half

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Globant

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