Introduction Post |
Post Reply |
Author | ||||
Vols1998
Rookie Joined: Apr/01/2018 Status: Offline Points: 3 |
Post Options
Thanks(0)
Posted: Apr/01/2018 at 7:09pm |
|||
Hey everyone,
I'm a financial advisor at an RIA firm (~$300MM AUM) in Texas. I currently have my series 7, 66, life/health insurance licenses. I plan on pursuing the CFP this year then the CFA afterwards. My undergrad is in finance (corporate focus). I'm still pretty new with a year of experience but work with about 150 clients on an existing book. However, I enjoy seeking new business so I cold call and focus on maintaining relations with prospects and current clients. I'm wanting to join this community to learn more from others in our industry (and related roles). One day, I'd like to run my own firm.
|
||||
missionshooter
Senior Member Joined: Feb/12/2014 Status: Offline Points: 6136 |
Post Options
Thanks(0)
|
|||
In before IAL
|
||||
Guests
Guest Group |
Post Options
Thanks(0)
|
|||
Welcome! |
||||
RIArules
Platinum Member Joined: Mar/15/2010 Status: Offline Points: 36500 |
Post Options
Thanks(1)
|
|||
You can still “wharehouse” your 7 if there are still firms willing to do that. In the meantime, the combo between the 7/66 is his de facto 65. |
||||
Is it too late to exhume Ken Starr?
|
||||
Vols1998
Rookie Joined: Apr/01/2018 Status: Offline Points: 3 |
Post Options
Thanks(0)
|
|||
That's my limited understanding of it. I was told the series 7 wasn't entirely necessary but the series 66 is basically a combo of the 63/65. Technically, we're a hybrid RIA.
|
||||
MrGreen
Senior Member Joined: Jul/10/2015 Status: Offline Points: 1015 |
Post Options
Thanks(1)
|
|||
Good luck.
|
||||
Iamlegend
Platinum Member Joined: Mar/09/2010 Status: Online Points: 22533 |
Post Options
Thanks(0)
|
|||
At first glance I thought you wrote whore 🏡! It would be warehouse. |
||||
RIArules
Platinum Member Joined: Mar/15/2010 Status: Offline Points: 36500 |
Post Options
Thanks(0)
|
|||
Says the guy claiming I misspelled moustache. |
||||
Is it too late to exhume Ken Starr?
|
||||
Guests
Guest Group |
Post Options
Thanks(0)
|
|||
The guy with one doesn’t spell it like this. You make it look classy |
||||
UserNamey
Greenhorns Joined: Apr/05/2018 Status: Offline Points: 14 |
Post Options
Thanks(0)
|
|||
Didn’t know about the ability to house your 7 anywhere for more than a couple years and stay RÍA. Is there a benefit to keeping it or is it just in case you wanna do commission business again?
|
||||
Post Reply | |
Tweet |
Forum Jump | Forum Permissions You cannot post new topics in this forum You cannot reply to topics in this forum You cannot delete your posts in this forum You cannot edit your posts in this forum You cannot create polls in this forum You cannot vote in polls in this forum |