Today marks my one year anniversary, last year on this date I decided not to update my U-4 with my broker dealer and continue my position as a Financial Advisor. Even after all the paper work was completed and processed with FINRA, I questioned my actions. I even considered going to another firm a month later, interviewing with one firm, but I realize I could not go along with it.
Many individuals would think that although I was an independent rep and did not have to deal with the pressure of being in large wire house firm, I knew I was under the same scrutiny as any other advisor, because there is legal ramification with the advice that you can give to clients. You have to make sure it is in guideline with what FINRA says is ok, and for me I had enough.
Take a look at the video below to see how I plan to embark on my new journey.
Liked what you read?