Do you work for a broker-dealer? The definition of a broker-dealer is a firm that buys and sells securities for its own account or on behalf of its customers and, in the U.S., usually refers to stock brokerages. If you’re familiar with my business, you know that its...

When you’re driving somewhere, you have to know where you’re starting from, where you’re going, and what you want to avoid (think traffic jams or closed roads.) The best way to do that is to plug your destination into your GPS and let it handle the details. The same...

There are plenty of perks to being an entrepreneurial advisor, which is why it’s such a fast-growing market. When you’re this type of advisor, you can act as a counselor to your clients and your advice doesn’t have to be limited to straight financial matters. I...

There will be many challenging times during your journey as an independent financial advisor. Some of those may be related to the economy or the market, while others, such as the recent pandemic, will be crises we never really see coming. The most successful advisors...

As an entrepreneurial advisor, it’s easy to develop tunnel vision. After all, you started this business because you wanted the freedom to serve others, right? But you can’t effectively help your clients if you’re not also taking care of your business and ensuring its...

As an independent advisor, you may be used to working in a non-traditional setting. One of the perks of being an independent advisor is that you can work from home, from a coffee shop, from a beach in Mexico, or pretty much wherever you want. Though you may be used to...