Advisorheads Homepage
Forum Home Forum Home > Introductions > Greenhorn Introductions
  New Posts New Posts RSS Feed - Introduction Post
  FAQ FAQ  Forum Search   Events   Register Register  Login Login

Introduction Post

 Post Reply Post Reply
Author
Message
Vols1998 View Drop Down
Rookie
Rookie
Avatar

Joined: Apr/01/2018
Status: Offline
Points: 3
Post Options Post Options   Thanks (0) Thanks(0)   Quote Vols1998 Quote  Post ReplyReply Direct Link To This Post Topic: Introduction Post
    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.
Back to Top
missionshooter View Drop Down
Senior Member
Senior Member
Avatar

Joined: Feb/12/2014
Status: Offline
Points: 6136
Post Options Post Options   Thanks (0) Thanks(0)   Quote missionshooter Quote  Post ReplyReply Direct Link To This Post Posted: Apr/01/2018 at 7:11pm
In before IAL
Back to Top
Guests View Drop Down
Guest Group
Guest Group
Post Options Post Options   Thanks (0) Thanks(0)   Quote Guests Quote  Post ReplyReply Direct Link To This Post Posted: Apr/01/2018 at 7:19pm
Welcome!

How can you be at an RIA firm and still have your Series 7?
Back to Top
RIArules View Drop Down
Platinum Member
Platinum Member


Joined: Mar/15/2010
Status: Offline
Points: 36500
Post Options Post Options   Thanks (1) Thanks(1)   Quote RIArules Quote  Post ReplyReply Direct Link To This Post Posted: Apr/01/2018 at 7:26pm
Originally posted by D.H.K. D.H.K. wrote:

Welcome!

How can you be at an RIA firm and still have your Series 7?


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?
Back to Top
Vols1998 View Drop Down
Rookie
Rookie
Avatar

Joined: Apr/01/2018
Status: Offline
Points: 3
Post Options Post Options   Thanks (0) Thanks(0)   Quote Vols1998 Quote  Post ReplyReply Direct Link To This Post Posted: Apr/02/2018 at 3:01pm
Originally posted by RIArules RIArules wrote:

Originally posted by D.H.K. D.H.K. wrote:

Welcome!

How can you be at an RIA firm and still have your Series 7?


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.

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.
Back to Top
MrGreen View Drop Down
Senior Member
Senior Member
Avatar

Joined: Jul/10/2015
Status: Offline
Points: 1015
Post Options Post Options   Thanks (1) Thanks(1)   Quote MrGreen Quote  Post ReplyReply Direct Link To This Post Posted: Apr/02/2018 at 3:15pm
Good luck.
Back to Top
Iamlegend View Drop Down
Platinum Member
Platinum Member
Avatar

Joined: Mar/09/2010
Status: Online
Points: 22533
Post Options Post Options   Thanks (0) Thanks(0)   Quote Iamlegend Quote  Post ReplyReply Direct Link To This Post Posted: Apr/02/2018 at 4:51pm
Originally posted by RIArules RIArules wrote:

Originally posted by D.H.K. D.H.K. wrote:

Welcome!

How can you be at an RIA firm and still have your Series 7?


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.

At first glance I thought you wrote whore 🏡!
It would be warehouse.
Back to Top
RIArules View Drop Down
Platinum Member
Platinum Member


Joined: Mar/15/2010
Status: Offline
Points: 36500
Post Options Post Options   Thanks (0) Thanks(0)   Quote RIArules Quote  Post ReplyReply Direct Link To This Post Posted: Apr/02/2018 at 5:07pm
Originally posted by Iamlegend Iamlegend wrote:

Originally posted by RIArules RIArules wrote:

Originally posted by D.H.K. D.H.K. wrote:

Welcome!

How can you be at an RIA firm and still have your Series 7?


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.

At first glance I thought you wrote whore 🏡!
It would be warehouse.


Says the guy claiming I misspelled moustache.
Is it too late to exhume Ken Starr?
Back to Top
Guests View Drop Down
Guest Group
Guest Group
Post Options Post Options   Thanks (0) Thanks(0)   Quote Guests Quote  Post ReplyReply Direct Link To This Post Posted: Apr/02/2018 at 5:17pm
Originally posted by RIArules RIArules wrote:

Originally posted by Iamlegend Iamlegend wrote:

Originally posted by RIArules RIArules wrote:

Originally posted by D.H.K. D.H.K. wrote:

Welcome!

How can you be at an RIA firm and still have your Series 7?


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.

At first glance I thought you wrote whore 🏡!
It would be warehouse.


Says the guy claiming I misspelled moustache.


The guy with one doesn’t spell it like this. You make it look classy
Back to Top
UserNamey View Drop Down
Greenhorns
Greenhorns


Joined: Apr/05/2018
Status: Offline
Points: 14
Post Options Post Options   Thanks (0) Thanks(0)   Quote UserNamey Quote  Post ReplyReply Direct Link To This Post Posted: Apr/05/2018 at 2:02pm
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?
Back to Top
 Post Reply Post Reply
  Share Topic   

Forum Jump Forum Permissions View Drop Down

Forum Software by Web Wiz Forums® version 12.03
Copyright ©2001-2019 Web Wiz Ltd.

This page was generated in 0.094 seconds.