Now Schwab being slapped with a class action per a buddy of mine that works there 😳 #dol

You all shoulda gone Indy

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

Won’t be the last. Indies aren’t being hit because they aren’t a big enough target. Not because they’re perfect.

likesmart

I'm confused I thought DOL got canned

Why sued?

Related Posts

Any good books or suggestions to improve communication skills to speak confidently with executive or leadership. Many times I end up blabbering and having unstructured discussion.

like

WHY ARE THE BRIEFS ONLY GETTING LONGER?!

like

Recently I left a Big 4 which was paying for my MT. So far, 3/12 courses down. Now that I'm paying, is it worth it to cont my MT? Or instead a tech degree (i.e., BS in CS or IT)? Or neither?...

I'm a software engineer, and I've been working remotely for my entire career. I love the flexibility and autonomy that remote work gives me, but there have definitely been times when it's been hard to feel like I'm on an even playing field with my colleagues in the office.

like

Pls DM if interested asap Impetus technologies inc

Post Photo
like

Bain consultants - What are some things that you think Bain does better/worse than McKinsey and BCG?

like

How are your teams structured for larger more complex accounts? Having a lot of process struggle and growing pains. Who is in responsible for what, who are the key players? (I’m at a digital and creative agency)

like

MD ESL teachers, how are your school systems making school related information accessible to your EL families? And are your teachers (all teachers) allowed to use Talking Points, Remind or another multilingual app when communicating with students /families?

like

Anyone have any recs for self help books? Looking for more relatable topics to myself I guess?

like

From which portal can we get the amount reimbursed?

like

What is the appraisal cycle in Volkswagen IT Services India? When are the increment letters released?

like

How to get calls from companies like Amazon and FB?

like

Looking for Guidehouse referral

likefunny

How much of racism would evaporate if wealth inequality were eliminated?

likefunny

How do PE exits look like for emerging market funds in Middle East (e.g Abraaj group type firms)

Got any office politics stories? Wondering how bad it is over here and looking to compare.

like

I’m looking for a good introductory message for LinkedIn. I’ve tried a few different openers but still a low success rate.

like

How is bsc data science from IIT madras?

Any opening for human resource management.

like

Additional Posts in Financial Advisors

What is your Myers-Briggs personality type? If you don't know, take the quiz and post your result here. Do you feel it describes you accurately?
ENFP here

like

Have a slight fever but we're running a workshop with clients tomorrow. Advice?

like

How frequently do you back up your electronic files?

like

I'm at a meeting of top 70 advisors in our company, I've come to It for last four years I never ask a question. It's supposed to be a forum what kind of question should I ask my CEO to bust his balls?

like

Series 79 and 63 - does anyone have these? Tips for how long it takes to study? I.e. 3 hours a day spread out over a month or something more intense?

like

For those that spend alot of time on the phone. What type and brand of headset do you use?

like

Im trying to hire a licensed employee who can put together and mail out monthly performance reports for every client. Little actual client contact. No idea what to pay? Ideas Please!?

likehelpful

Does anyone else hate prospecting and rely on referrals? Cold calling is so miserable 😩

like

Hello! My firm currently empowers my team to purchase external financial planning practices. most competitive multiples/accelerated deal structure. Live in N./C. FL. Strong past experience.

like

Anyone else hate banking lingo and make fun of it, but as soon as a discussion starts you say "we dont want to boil the ocean here". Fml. Whats your most despised finance phrase?

like

I get sad when people don’t ask me about my job at family gatherings/social outings because that’s all I have going for me :)

like

I am seeking Financial Advisors with established books who would like to explore independence. Independent Registered Investment Advisors (RIAs) are professional independent advisory firms that provide personalized financial advice to their clients. We are registered with either the Securities and Exchange Commission or state securities regulators. Independent advisors are trusted with over $5 trillion of their clients’ wealth. All queries will be held in strict confidence.

like

Starting a full-time assistant. How much vacation time? 1 week for first 2 years, then 2 weeks for years 3-6 and then 3 weeks...

like

At what point did you realize that you no longer had to fight to make it? Certain number of clients? Certain number of AUM? Maybe never?

likeuplifting

What time does your alarm go off? Mine is 3:55 or 4:20. (Exercise)

like

How do you deal with clients that think that I work “for” them? Attitudes and such. My understanding is that we work “with” them. 🤯

like

Having that day where I have mentally checked out, but can't leave because I have a client meeting. None of my normal "quick fixes" is working. What do you do when you only need an hour of focus?

like

This is the craziest job ever. I’m less than one year in and I get no leads given to me. I’m an indy FA (S7, S66, and life + health licensed) I am constantly looking for new prospects to the point I want to rip my hair out, but then I’ll have days like today where I’ll make 20k in one day and think this job is a joke. I really need to learn how to prospect better. I’ve made 150k in my 7 months as an advisor, I’ve made 29 new clients in that time and am looking for a way to streamline prospecting

like

Searching for a hypothetical tool. I use them quite often. JP Morgan funds had the Morningstar hypo on website and now gone. I called and they confirmed it was gone. Anyone know of another one?

like

Wondering if anyone knew of good books about prospecting and selling to small business owners?

likehelpful

New to Fishbowl?

Download the Fishbowl app to
unlock all discussions on Fishbowl.
That was just a preview…
Sign Up to see all discussions
  • Discover what it’s like to work at companies from real professionals
  • Get candid advice from people in your field in a safe space
  • Chat and network with other professionals in your field
Sign up in seconds to unlock all discussions on Fishbowl.

Already a user?
Login here

Share

Embed this post

Copy and paste embed code on your site

Preview

Download the
Fishbowl app

See what’s happening in your industry
from the palm of your hand.

A phone with Fishbowl app

Send download link to your phone

OR

Scan your QR code to download
Fishbowl app on your mobile

By continuing you agree to Terms of Use and Privacy Policy.

Messaging rates may apply

Download app

Sign up for free to view this conversation on Fishbowl

By continuing you agree to Terms of Use and Privacy Policy

Already have an account? Log in

Sign up for free to continue using Fishbowl

By continuing you agree to Terms of Use(New) and Privacy Policy(New)
Messaging rates may apply

Already have an account? Log in

For account settings, visit Fishbowl on Desktop Browser or

General

Legal