Archives for RIA

Making a Move: What to Consider When It’s Time to Leave Your Firm

There are a lot of changes happening in the financial services industry, and perhaps you’ve been thinking about making a move. Certainly no one knows what’s right for you (except you), but here are some things to think about. What to consider if you’ve been looking at firms to join: Is the firm’s culture and advisor style a match with yours? Do they focus on financial planning, portfolio construction and investment selection, or are they focused on a particular product? Can they handle the full range of what you offer or would like to offer? Are they involved with local
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Categories: Blog Posts.

Thinking About Getting Your Series 65? Shurwest Offers a Discount on Training.

Shurwest is making it easier than ever for you to pursue your Series 65 license. We’ve teamed up with Kaplan Financial Education to offer our financial advisor partners a 10% discount on Series 65 training. Kaplan helps financial advisors pass exams with study choices to satisfy almost any learning style. The discount applies whether you choose the classroom setting, online courses or self-study option. Here are some interesting Series 65 facts: The Series 65 license allows you to become an investment adviser representative (IAR) or independent adviser (IA) for a registered investment advisory firm (RIA)—either your own firm or someone
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Categories: Blog Posts.