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Success as a Financial Advisor For Dummies
book

Success as a Financial Advisor For Dummies

by Ivan M. Illan
December 2018
Beginner content levelBeginner
384 pages
9h 53m
English
For Dummies
Content preview from Success as a Financial Advisor For Dummies

Chapter 4

Deciding to Work for a Firm or Build Your Own Practice

IN THIS CHAPTER

Bullet Considering the choices for working independently or for a firm

Bullet Exploring different ways to receive compensation from clients

Bullet Joining a firm that provides education and training

Bullet Gaining freedom as an independent contractor or registered investment advisor

Bullet Scoping out different firms: what to look for

As a financial advisor, you can choose to work for a mega, traditional, full-service broker/dealer, set out on your own as an independent registered investment advisor, or build a successful career at any firm along that spectrum. As you evaluate your options, consider the following key factors:

  • Your knowledge, skills, experience, and background (see Chapters 2 and 3)
  • Whether you prefer to work as an employee or as an independent contractor
  • The roles and responsibilities you’ll engage in your day-to-day operations

In this chapter, I lead you on a tour of various work options where you can provide clients ...

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Publisher Resources

ISBN: 9781119504108Purchase book