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jaszzee in Laguna Beach, California

Updated 66 months ago

I've been a Financial Advisor for 4 years, but with this market the ups and downs of commission is making me crazy! - 10 Replies

Many of my clients are friends, and I don't want to let them down, but the lure of a fixed salary in a different company or industry is very...

Laurenn in San Francisco, California

Updated 66 months ago

Tips for financial advisor interviews. - 2 Replies

Do you have any tips to help prepare for an upcoming financial advisor interview? Are there common interview questions that come up again and again?

hspells in Marietta, Georgia

Ken Zahn review helps you fail the CFP exam!

I failed the CFP exam using the Zahn review. Time and time again they would not let us ask questions during the review. We had to save questions...

Kate L in Arlington Heights, Illinois

Updated 66 months ago

AXA or Prudential - 1 Reply

I have financial advisor/associate job offers, one with AXA, one w/ Prudential. I'm torn on which way to go honestly. I really wanna get my series...

PegJDavid in Rancho Santa Margarita, California

Updated 66 months ago

sales assistant for financial advisor? - 13 Replies

I'm currently a licensed personal banker for a larger bank that has it's own in-branch financial advisers on the bank's brokerage side. I've been...

Wealth Manager in Pleasanton, California

Updated 67 months ago

Should I take the job? - 2 Replies

I was offered a position with a company that wants to get me into their financial advisor training program. The catch is that I will be an...

Jasonjames88 in Fort Wayne, Indiana

relocating within a firm

I am considering starting my training at several large firms. I know that I will soon be moving to another part of the country. With many of the...

Damian in Cadiz, Kentucky

Best path for me?

Hello, I'm a 33 year old male who has been interested in being a FA since the 7th grade. I've an undergraduate degree in Finance with a CIS...

brettmna in Nashville, Tennessee

Career Opportunities

I have been offered a Financial Advisor Trainee position with an affliate of MetLife. I will be salaried at $35,000 per year plus commissions for the...

Prospective MS FA

Updated 70 months ago

PROSPECTING for FAs--FROM $0 to $1BILLION in AUM - 2 Replies

To all active FAs out there who have built a substantial book of clients ($100m+), I pose a question to you: IF YOU HAD TO START OVER AGAIN WITH ZERO...

Sapient Cap in Florida

Updated 70 months ago

JPMorgan Chase Financial Advisor Associate Information and Advice desperately needed! - 3 Replies

Do you have any advice on being an FA at JPMorgan Chase?. I read some articles that said the FA's with JPC are required to be at the branch every...

wct in Anaheim, California

help me with my research?

Hey, I'm doing some research into the financial planning industry and have a few questions for anyone who wants to chime in. What are some of the...

Robert in San Jose, California

Will a DUI on my record prevent me from starting a career in Financial Planning?

Hello, I was hoping someone who works in the HR/recruiting/hiring side of the financial planning business could answer this question, but if you...

aguilartx in Houston, Texas

Updated 73 months ago

Total monthly costs associated with being an Independent Financial Rep - 1 Reply

Could someone with experience let me know if I am missing any other monthly fees associated with being an independent rep? E&O Insurance Base Fee...

DGC32 in Pittsburgh, Pennsylvania

Updated 73 months ago

financial sales in metlife! - 13 Replies

Hi everyone. I am new here. I am some question about the financial sales in metlife. does any one knows about the financial sales in metlife? i...

Haggai in Corpus Christi, Texas

New Graduate wants to move to bigger city to be a Financial Advisor

I am graduating in a few weeks and am not sure the most strategic way to handle my goal. I want to move to a larger city that I frequent a lot to be...

Wealth Manager in Dublin, California

Updated 73 months ago

New Career as Financial Advisor - 3 Replies

Small Business owner for 25 years currently considering changing careers. Would like to take a year off work (or work part time) and using the time...

mee in Arlington, Virginia

Updated 74 months ago

Where to start Financial Planning career as an MBA - 2 Replies

Hello, I am currently enrolled in the Finance MBA Program at Fordham Graduate School of Business. Fordham's most recent rank in finance on US News...

sfconti in Providence, Rhode Island

First Year Expectations Different Perspectives

I am in the final leg of my interview process with Wells Fargo Advisors and I am looking to get some insight into first year expectations with...

Robert in Brownsville, Texas

Updated 76 months ago

Would appreciate advice from financial planners/advisors that have build a Fee-Based Practice! - 1 Reply

I am a CFP/ChFC with severl years in the Financial Services industry and I am finally seriously considering going independent and starting my own RIA...

LaxRyan in Arnold, Maryland

Financial Advisor Possibilities

I am currently graduating from college with a degree in finance and in the process of looking at multiple jobs. I have a job offer from an insurance...

CLivengood in Santa Monica, California

Wells Fargo Financial Advisor Training Program

I'm thinking about switching careers and becoming a financial advisor, but I don't have any prior experience. Does anyone know if the Wells Fargo...

LB.Scott in Los Angeles, California

Background checks in the Wealth Management Industry

How stringent are background checks in the wealth management industry? I was arrested for petty theft (misdemeanor) a couple of years ago was able to...

janetommey in Chicago, Illinois

Other jobs in FP office?

I am interested in becoming a financial planner but want to work in an office for a while at first to make sure that the work is a good fit for me. I...

Ed in Saint Petersburg, Florida

Updated 82 months ago

financial planning certificate - 1 Reply

I am thinking about taking an online program for a financial planning certificate, with the intent to take the CFP exam. I currently have a...

Jack in Atlanta, Georgia

need opinion on possible career change

Need some advice from people who have been in the business. I've been working in wirehouses for almost 5 years (2 with ML and 3 with Morgan...

oHIo in Milford, Ohio

series 7 waiting period for commissions

In prepping for the series 7, there was something mentioned to effect of once I pass the series 7, there was a "mandatory" waiting period before I...

Wealth Manager in San Ramon, California

Updated 84 months ago

Seedy Firm versues big wirehouse - 1 Reply

I was recently offered a job at a seedy MLM finacial services firm, the goal was to simply push insurance for a couple months to your 100 people on...

Sosuccessful in New York, New York

Updated 84 months ago

How do i find a financial advisor i can trust? - 2 Replies

With the recent down turn in the economy i have grown increasingly hesitant at turning to any one to deal with my hard earned money. I don't make...

Carlos Beltran in New York, New York

I passed my series 7 and 63 and I was wondering...

...what my next course of action should be. I'm currently working at a small firm (the one that sponsored me) but its a heavy cold-calling atmosphere...

west in Studio City, California

Updated 85 months ago

Financial Advisor Action Plan - 5 Replies

What's a good "action-plan" for a brand new Financial Advisor to implement? I'm looking for any suggestions that I can implement to ensure success....

Mike in Virginia Beach, Virginia

Updated 85 months ago

Top financial advisor skills needed to get the job. - 2 Replies

What are the top 3 traits or skills every financial advisor must have to excel? Can you suggest any tips or insights to develop your financial...

395 in Omaha, Nebraska

Updated 85 months ago

Termination - 2 Replies

hopefully an expericed FA could answer this for me. I am considering accepting an FA job with a major wallstreet firm in Texas. After reading tru...

CareerGuru in San Francisco, California

Updated 85 months ago

Online jobs - 1 Reply

Hi all Im working online to earn more money through online. im just getting started to earn and i have earned 10 dollars in 6 days. contact...

Rob in Lake Bluff, Illinois

Paid training and costs

Hi, I am looking to get into the financial advisory field and am wondering if anyone can provide a list of companies that pay a base salary during...

Financial Advisor 4 U in Ocala, Florida

Updated 85 months ago

I failed the Series 7... Can I go to another Wirehouse. - 2 Replies

I was hired by a major wire house, I was in the training program and didnt study as much as I thought, I figured I could get by with minimal...


Updated 85 months ago

MSSB vs. ML - 10 Replies

Apologies to all if this is a redundant topic, but given how fast things are changing/evolving with these two companies, it seemed important to start...

MR. C in San Antonio, Texas

time period to receive an offer

What is the longest period of time that it has taken someone to receive an offer after submitting your application? My application was submitted...

PAlexG in Piscataway, New Jersey

Financial Advising Straight out of College

I'm graduating college in a couple of days and am considering taking a job in Financial Advising. I understand that difficulty of not only getting...

Wealth Manager in Livermore, California

Updated 87 months ago

Financial Advisor Career Question - 4 Replies

So I have a question about a potential career in financial advising. I recently graduated college at the top of my class in finance and am looking...

Career Changer in Denver, Colorado

Looking for advice on door-to-door prospecting

I'm a new financial advisor. I have 7,66,LAH licenses. I love my new job. I'm enjoying the phone calls and meetings with prospects in my "natural...

Kev123 in Nashville, Tennessee

getting started with W&R

First, I like to start by saying the informations on this site is gold. I have recently been offered a position at W&R. I did all my interviews and...

Kandori in Sterling, Virginia

Starting a Financial Services Career

I just had a general question for people out there if they had this choice. I have recently gotten an offer for a position with Asset management...

Wealth Manager in Livermore, California

Updated 91 months ago

Advisor Partnership Pay - 1 Reply

Hi I thinking about joining an established IA as a junior broker and am wondering how commissions are generally split. I will be looking after his...

JobSeeker71 in Hurricane, West Virginia

Retirement Education Counselor

I am going into my third interview with Great West Retirement Services as a Retirement Education Counselor. Has anyone worked in this position or...

bwagg in Albuquerque, New Mexico

Rejection letters

I am looking to assemble rejection letters for a study. if you have one you would like to send me, send me an email to


Financial Planning & long-term success - prospecting-only or prospecting + effective advice

I'm interested in becoming a financial planner, and realize that prospecting is rule of the game. However, I would think that, over time,...


Most effective marketing methods for financial planners?

I'm curious to learn what the most effective marketing methods for financial planners? Networking? Telemarketing? Direct mail - newletters,...

Career Changer in Denver, Colorado

Updated 94 months ago

What math should I expect on Morgan Stanely Smith Barney math test? - 3 Replies

I applied with AXA Advisors and Morgan Stanely Smith Barney (MSSB) for Financial Advisor "trainee" positions. The AXA interview was a breeze - zero...

Triman07 in Rochester, Minnesota

Should I become a financial advisor? a few questions

I have thought about becoming a financial advisor, since I have great people skills and a passion for the markets, but I jump back and forth on it...

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