The Perfect RIA The Broken Dealer's Guide to Independence (And When to Stay Put)
Mar 7, 2025
The journey of an advisor breaking free from corporate constraints is explored in depth. Insights from Carmine Corino, a seasoned CEO, reveal the trials of embracing independence in financial advising. The discussion helps listeners assess their motivations and options, whether to venture into independence or stay with their current practices. Personal stories and expert advice guide aspiring advisors, making it an invaluable listen for anyone considering a shift in their career.
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Discreet Research
- If considering independence, avoid searching for information about leaving on your company computer.
- People are always watching, and this can have serious consequences.
Carmine's Story of Independence
- Carmine Corino shared his experience of facing a FINRA action after leaving his previous firm.
- It took him 16 months to fight the action, but he thrived despite this 'worst-case scenario'.
Reflect on Your Decision
- Ask yourself: knowing what you know now, would you make the same decision again?
- If not, re-evaluate your situation, regardless of your current channel.