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From Restricted Adviser to Independent Financial Planner

Financial Planner Life Podcast

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Transitioning from Compliance to Financial Planning

This chapter discusses the speaker's journey from a compliance role to becoming a financial planner. They reflect on their experience in compliance, the benefits and challenges of working in the field, and why they ultimately decided to transition into financial planning. They also highlight the importance of starting in entry-level positions in financial services as a stepping stone to becoming a financial advisor.

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