Looking to get into an RIA. CFP and MBA. Any feedback or referrals would be greatly appreciated. Can’t take the brokerage world anymore. Reg BI/DOL is destroying my universe.

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Posting as :
works at
You are currently posting as works at

How is reg BI/DOL destroying your universe?

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@MN Financial Planner yes this is what I meant. My firm got into a lot of trouble for KYC related issues a few years back, money laundering and what not, so now they scrutinize everything from multiple perspectives and they take it to the next level. It’s become close to impossible to get anything done. My firm is also notorious throughout the industry for being by far the strictest firm on the block with compliance, as confirmed by multiple wholesalers I speak to. This is why I want to get into an RIA and in an environment where I’m no longer made to feel like a common criminal for opening an account for a new client and then once again made feel like a criminal for making an investment recommendation.

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Following. I am transitioning to New Edge Advisors and dropping my series 7 for this exact reason.

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Yes, love to hear more about the above, too!

Too much scrutiny,

You in the wirehouse channel? Let me guess… WFC, UBS or Citi? —I doubt bank. PM me your T12 GDC and I reply with a number. GL

Where are you located?

NYC

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Deloitte India
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Referral Available for following
Comment or DM for details

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Openings at Accenture. DM for referral.

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Hi
Hope you are doing well

I was working with Mindtickle.
And unfortunately got laidoff from Talent Acquisition team.

I'm looking out for change as Talent Acquisition, would you mind to refer in your current organization Or can refer in your connection if someone has the opportunity.

Location - Delhi NCR /Remote
Exp- 5+year. Relevant (2.3year)
Notice- Can join immediate

Regards
Aditya

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