Summary: Whether you come from an RIA or broker-dealer background, starting your own practice is both exciting and challenging. You’ll find you need to be an expert in all the support services you may have taken for granted when you worked for a larger firm, such as compliance, technology and marketing.
 Most advisors don’t have a compliance background — maybe they had a class or two in business school. It’s not an intuitive subject but it’s very costly to ignore. Five years ago many small advisors just didn’t worry about it, everyone knows they have to pay attention to compliance.”Jeff Grove, CEO, Integrated Advisors Network |
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