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#FA Success Ep 307: Dropping Your Broker-Dealer License Without Dropping The Broker-Dealer Platform, With Stacey Hyde

Nerd's Eye View

What's unique about Stacey, though, is how, to gain more flexibility and independence for her firm, she and her partner decided to drop their FINRA licenses and launch their own RIA… while continuing their relationship with Commonwealth as their now-former broker-dealer platform.

License 176
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Will increasing your understanding of Flow & the Elimination of Flow Killers help you to make these Processes & Systems STICK?

Leading Advisor

Branding Commission/Fee For Service Compliance and Licensing Marketing and Sales Office Environment Products and Services Technology and Equipment Team/Succession Planning Vision and Business Plan What… The post Will increasing your understanding of Flow & the Elimination of Flow Killers help you to make these Processes & Systems STICK? (..)

License 40
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#FA Success Ep 306: Restructuring Partner Compensation And Roles To Align For The Next Stage Of Growth, With Cean Kenefick-Rogers

Nerd's Eye View

In this episode, we talk in-depth about the journey that Cean and his partners took, from originally starting their careers at an insurance company, then moving on to a brokerage firm, until they ultimately decided to transition to an independent RIA and on the advice of their attorney drop their FINRA licenses altogether to reduce the risks to their (..)

License 130
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Announcing Expanded IAR CE And Price Updates And The State Of The (Nerd’s Eye View) Blog

Nerd's Eye View

Combined with the continued availability of CE credit for CFP certification, CPA and EA licenses, and various Investment & Wealth Institute (IWI) and American College designations, Kitces Premier Members have a wide variety of opportunities to fulfill their CE requirements.

Education 205
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#FA Success Ep 309: Leveraging Structured Notes To Differentiate A Highly-Leveraged $300M Solo Practice, With Anh Tran

Nerd's Eye View

We also talk about how Anh began her career as an attorney, but decided to move away from the more transactional short-term relationship of litigation, and then, it was while she was working for Goldman Sach’s Ayco, that she realized that she could have a greater impact on her clients’ lives through financial planning and ultimately decided (..)

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The Latest In Financial #AdvisorTech (June 2023)

Nerd's Eye View

From there, the latest highlights also feature a number of other interesting advisor technology announcements, including: InvestCloud, a TAMP and all-in-one advisory technology platform which has undergone rapid growth in recent years through the acquisition of numerous disparate technology tools in order to compete with its more-established competitor (..)

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How to Know If Your Small Business Needs an Attorney

MazumaBusinessAccounting

writing a business plan. filing for a business license and deciding on a business entity. applying for licenses & permits. Here’s our short list as to when you can do it yourself compared to when you might consider hiring an attorney: When You Could DIY It. reserving a domain for your website.

License 52