Podcasts about broker dealer

In this episode of the Oyster Stew Podcast, our panel of financial services experts breaks down the key considerations for outsourcing critical functions, such as compliance, finance, and vendor selection. Whether you're launching a new firm, looking to scale efficiently, or navigating complex regulatory landscapes, outsourcing services can provide cost-effective expertise and operational flexibility.Our expert panel—Sarah Sutton, Candy Palugi, Evan Rosser, Jay Donlin, Fred Wagstaff, and Jeff Wilk—shares real-world insights on when outsourcing makes sense, how to assess your firm's needs, and the long-term benefits of working with experienced operations and compliance consultants.  Key topics include:When Does Outsourcing Chief Compliance Officers Make Sense?How Outsourcing Can Help Growing Firms Stay FocusedCompliance, Testing & Risk Management: The Role of Independent ReviewsFinancial & Operational Outsourcing: When Should Firms Leverage External Support?Vendor Selection & Technology Strategy: Choosing the Right PartnersOyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter. Does your firm need help now? Contact us today!

Welcome to the 9Innings Podcast where we Educate, Empower and Engage. In this episode of the "9innings Podcast," host Kevin Thompson, converses with Chuck Failla CFP®, founder of Sovereign Financial Group and host of the GoRIA Podcast. They delve into the fiduciary standard in the financial advisory industry, addressing the challenges posed by "planners in name only" (PINOs) and the distinctions between broker-dealers and independent registered investment advisors (RIAs). The discussion highlights the importance of fiduciary responsibility, the value of RIAs, educating clients, and the need for title protection and simplification within the industry. Debate on Fiduciary Standard (00:01:30) Consumer Awareness in Financial Advice (00:05:28) Discussion on Planners in Name Only (PINOs) (00:05:55) Social Media and Financial Expertise (00:09:04) Pushback from Broker Dealers (00:11:07) Barriers to Independence (00:14:19) Ownership of Book of Business (00:17:00) Value of RIA vs. Broker-Dealer (00:20:16) Liability and Consumer Awareness (00:23:10) Future Initiatives for the Fiduciary Standard (00:24:26) Concerns Over Designations (00:28:03) Final Thoughts on Industry Standards (00:29:18) NEWSLETTER (WHAT NOW): https://substack.com/@9icapital?r=2eig6s&utm_campaign=profile&utm_medium=profile-page Follow Us: youtube: / @9icap Linkedin: / kevin-thompson-ricp%c2%ae-cfp%c2%ae-74964428 facebook: / mlb2cfp Buy MLB2CFP Here: https://www.amazon.com/MLB-CFP%C2%AE-90-Feet-Counting-ebook/dp/B0BLJPYNS4 Book Meeting: https://outlook.office365.com/book/G12473568acb64f719ff3e79cfc9d55ed@NETORGFT11398641.onmicrosoft.com/ Website: http://www.9icapitalgroup.com Hit the subscribe button to get new content notifications. Corrections: Editing by http://SwoleNerdProductions.com

Women and Wealth: Financial Planning for a Confident FutureIn Episode 43 of the Home Tour Podcast, the co-hosts are joined by financial expert Teresa Fitzgerald from Affinity Planning Partners. Teresa shares her journey into finance and provides invaluable insights into financial planning, especially for women entrepreneurs. Key topics include overcoming financial fears, strategies to build a financial foundation, the importance of liquidity, and tax planning. Teresa emphasizes that financial planning doesn't have to be daunting and offers practical advice for achieving financial independence. This episode is a must-watch for anyone looking to take control of their finances and build lasting wealth.Contact Teresa M. Fitzgerald today!Financial Planning ConsultantInvestment Advisor RepresentativeFounder & Ownerwww.affinityplanningpartners.comteresa@affinityplanningpartners.comText: 847.713.1876Office: 815.210.1315259 Hwy 74 N Suite 2 Peachtree City, GA 30269AR Insurance License #10170240CA Insurance License #OM77215Investment Registered in AR, CA, CO, DE, GA, FL, IL, IN, MA, MD, MI, NJ, OH, SC, TX, VA, and WI.00:00 Introduction and Special Guest Announcement00:41 Meet Teresa Fitzgerald: Financial Expert02:11 Teresa's Journey into Finance04:19 Unique Financial Challenges for Women07:10 First Steps in Building Financial Foundations10:58 Short-Term vs Long-Term Financial Goals16:34 Wealth Building Beyond Basics20:15 The Role of Social Media in Financial Planning23:30 Breaking Financial Molds23:48 Client-Centric Financial Advice26:08 Navigating Financial Polarization29:45 Financial Strategies for Women Entrepreneurs35:55 Comprehensive Financial Planning41:22 Real Estate and Liquidity45:11 Concluding Thoughts and Contact InformationThe views and opinions expressed herein are those of the author(s) and may or may not represent the views of Capital Analysts or Lincoln Investment. The material presented is provided for informational purposes only. Advisory services offered through Capital Analysts or Lincoln Investment, Registered Investment Advisers. Securities offered through Lincoln Investment, Broker Dealer, Member FINRA/SIPC www.lincolninvestment.com. Affinity Planning Partners and the above firms are independent and non-affiliated. Affinity Planning Partners; 259 Hwy 74 N. Suite #2, Peachtree City, GA 30269. Hosted on Acast. See acast.com/privacy for more information.

Slocomb Reed interviews Joe Archbold, the owner of Anthem Investing, who shares his journey into real estate investing and the role of broker dealers in syndication. Joe discusses the benefits of passive investing through broker dealers, the vetting process for sponsors, and the compensation structures for broker dealers. He also explains why operators choose to work with broker dealers and explores the fund of funds model, providing insights into the complexities of capital raising in the real estate sector. Sponsors: Crystal View Capital Capital Gains Tax Solutions Learn more about your ad choices. Visit megaphone.fm/adchoices

Paul previously served as the Chief Information Security Officer for an independent Broker-Dealer with billions of dollars in assets under management and thousands of Advisors spread across the United States as well as a major defense contractor providing logistical services. Paul has been a part of several FINRA and SEC Cybersecurity sweeps and examinations and maintains a deep understanding of the regulatory requirements associated with financial institutions as well as prioritizing risk remediation activities. With a sister company operating in the tax preparation space and a large majority of Advisors having a separate tax practice Paul has a deep understanding of the IRS requirements set forth in the Strategic Threat Assessment & Response (STAR) work group to help protect taxpayers and the integrity of the tax ecosystem. Paul helps educate advisors on security requirements that are present in both businesses by drafting policies and procedures that are closely aligned to meet both business needs. Paul was also a 2016, 2015, 2014 & 2013 EC-Council Certified Chief Information Security Officer of the Year Finalist and was presented with the Excellence in Finance Leaders Award in recognition of his contributions to the Finance Industry at the 2019 FiNext Conference.Paul holds a Master of Science in Management with a concentration in Information Systems Security and a Bachelor of Science in Business Administration in Information Technology from Colorado Technical University. Paul has also served on a variety of Advisory Boards for information security-related topics and has a deep dedication to the information security community by mentoring other security professionals. Paul honorably served in the United States Air Force as a Special Agent and has an extensive physical and information security background from his time spent as an Agent.In this episode, Eric and Paul Horn discuss:The critical first step toward securityThe threat of human error Non-negotiable security measures Basic cybersecurity “hygiene”Key Takeaways:Performing a comprehensive cybersecurity risk assessment is the critical first step for organizations of all sizes to identify and address vulnerabilities.Human error, such as clicking on phishing links, remains the biggest cybersecurity threat, underscoring the importance of regular security awareness training.Multi-factor authentication is a non-negotiable security measure, not only for regulatory compliance but also for obtaining cyber insurance coverage.Small and mid-sized businesses often overlook basic cybersecurity hygiene like device encryption, patch management, and use of supported software versions, which can leave them exposed to significant risks.“If you can't do the basics, you're not going to be able to do the advanced stuff, or it's very easy to walk right in (a trap) because you're not doing the basic stuff.” - Paul HornConnect with Paul Horn:Website: https://www.h2cyber.com/ LinkedIn: https://www.linkedin.com/in/paul-horn-4107861a/ Connect with Eric Dyson: Website: https://90northllc.com/Phone: 940-248-4800Email: contact@90northllc.com LinkedIn: https://www.linkedin.com/in/401kguy/ The information and content of this podcast is general in nature and is provided solely for educational and informational purposes. It is believed to be accurate and reliable as of the posting date but may be subject to changeIt is not intended to provide a specific recommendation for any type of product or service discussed in this presentation or to provide any warranties, investment advice, financial advice, tax, plan design or legal advice (unless otherwise specifically indicated). Please consult your own independent advisor as to any investment, tax, or legal statements made.The specific facts and circumstances of all qualified plans can vary and the information contained in this podcast may or may not apply to your individual circumstances.

Building genuine community and authentic connections is the cornerstone of success and fulfillment, especially for women in financial services.In this episode, Ana Trujillo Limón, Director, Editorial at Carson Group, speaks with Joanna Ehresman and Leah Alter, co-hosts of the WomenShare Podcast. Together, they explore the transformative power of community, celebrate women's achievements, and discuss strategies for overcoming challenges unique to women in the financial services industry. Their passion for creating a supportive network shines through as they emphasize the importance of lifting each other up.Joanna and Leah discuss:Encouraging women to authentically show up, build networks, and seek genuine connectionsThe challenges women face as the “only ones in the room” and the lessons learned in overcoming burnout and isolationThe importance of sharing insights and experiences to foster collective success and support future generations in financial servicesCelebrating milestones, both personal and professional, as a way to build confidence and a sense of communityRedefining success by creating balance, authenticity, and joy in both personal and professional livesAnd more!Connect with Ana Trujillo Limón: Carson Group LLCLinkedIn: Ana Trujillo LimónConnect with Leah Alter and Joanna Ehresman:Website: WomenShare PodcastYouTube: WomenShare PodcastLinkedIn: Leah AlterLinkedIn Joanna EhresmanAbout Leah Alter: Leah Alter is the Founder of Marketing by Foxie. After years in New York City's entertainment and events industry, she moved to Austin, TX, joining an independent Broker-Dealer and RIA.At the Broker-Dealer/RIA, Leah worked on the business development team before transitioning to marketing consulting, where she helped advisors brand and market themselves in a highly regulated industry. She led marketing workshops and programs, with one of her initiatives earning two Wealthmanagement.com Award nominations. She also contributed to the marketing team, packaging and delivering products and services for financial professionals.Leah later joined a digital marketing agency serving the financial services and FinTech industries, gaining valuable expertise from industry specialists. Most recently, she was Vice President of Marketing at a FinTech company, focusing on branding, social media thought leadership, and launching a new website.A passionate marketer, Leah is dedicated to helping her clients succeed.About Joanna Ehresman: Joanna is the Founder of Momentum Growth Solutions and co-host of WomenShare, leveraging her 20+ years of marketing expertise to empower clients and listeners to make a greater impact.Her passion for marketing stems from seeing the profound impact professional financial advice has on clients' lives. At Momentum Growth Solutions, Joanna helps companies accelerate growth by aligning their purpose with their brand and marketing strategies while advising internal teams for sustainable results.Joanna also serves on the Board of Directors for BestPrep, a nonprofit focused on youth financial literacy and career skills. She lives near Minneapolis, Minnesota, with her husband and three sons.Send us your questions, we'd love to hear from you! Email us at framework@carsongroup.com.

Welcome to Series 66 Showdown , where egos clash, and the gloves come off! Tonight's matchup: Broker-Dealers versus Investment Advisors. One sells what you want; the other claims to act in your best interest. Who's the hero, and who's the villain? Let's meet our fighters: Sarah, who believes commissions make the world go 'round, and Mark, who swears by fees and fiduciary duty. Let's rumble!"   Well, there you have it! Broker-Dealers promise quick results and tailored products, while Investment Advisors swear by fiduciary duty and long-term planning. Whether you prefer Sarah's fire or Mark's…moral superiority, the choice is yours. Join us next time on Series 66 Showdown, where the stakes are high, and the insults are higher!" Script for Broker-Dealer vs. Investment Advisor Debate (Wild and Explosive) Scene Setup Host: Positioned in the middle screen, half referee, half instigator, enjoying the chaos. Guest 1 (Broker-Dealer Advocate - Sarah): On the left screen, loud and fiery, exuding a "sales are king" attitude. Guest 2 (Investment Advisor Advocate - Mark): On the right screen, calm but condescending, with a "fiduciary or bust" vibe. Script Opening: Host Introduction Host: " Round 1: Opening Salvos Host: "Sarah, Broker-Dealers often get a bad rap for being sales-focused. What's your defense?" Broker-Dealer Advocate (Sarah): "Defense? I don't need a defense. Broker-Dealers give clients exactly what they ask for—products that work for their goals. We're like a buffet: you pick what you want, and we serve it up. Investment Advisors, on the other hand, are like those restaurants with no menu. ‘Trust the chef,' they say, while charging you triple for something you didn't even want." Investment Advisor Advocate (Mark): "Buffet? Try used car lot. Broker-Dealers push whatever pays them the biggest commission. Meanwhile, Investment Advisors are fiduciaries—we put our clients' interests first, not our paychecks. Sarah's team is all about conflicts of interest wrapped in a shiny sales pitch." Broker-Dealer Advocate (Sarah): "Oh, here we go with the fiduciary sermon. Newsflash, Mark: just because you charge a fee doesn't make you a saint. At least I'm upfront about how I get paid. Your precious fees are just commissions with a bow on top." Round 2: Conflicts of Interest Host: "Mark, let's talk conflicts of interest. Investment Advisors claim to avoid them. True?" Investment Advisor Advocate (Mark): "Absolutely. As fiduciaries, we have a legal obligation to act in our clients' best interests. Broker-Dealers, on the other hand, just have to meet the ‘suitability' standard—which is basically code for ‘good enough.' If Sarah sells you a product that works for you but lines her pockets, that's fine by her rules." Broker-Dealer Advocate (Sarah): "Suitability isn't ‘good enough,' Mark—it's tailored to the client's needs. And let's not pretend you're conflict-free. You charge fees based on assets under management, so you're incentivized to tell clients, ‘Don't pay off your mortgage—give me the money instead!' You're just as biased, but you dress it up in fancy legal terms." Investment Advisor Advocate (Mark): "Wow, Sarah, that's rich coming from someone who gets kickbacks for pushing mutual funds with 12b-1 fees. At least my fees are transparent. Your conflicts are hidden in fine print so small even lawyers need a magnifying glass." Broker-Dealer Advocate (Sarah): "Kickbacks? You mean the commissions I earn for providing real value to my clients? Sorry if that bothers you, Mark. Maybe you should try working in sales—you might learn how to talk to actual people." Round 3: Regulation and Accountability Host: "Let's dig into the rules. Sarah, Broker-Dealers are regulated by FINRA, but Mark's camp has the SEC. Who's got the better oversight?" Broker-Dealer Advocate (Sarah): "FINRA is all about protecting investors while keeping the industry running smoothly. The SEC? They love to bog everyone down in paperwork. Investment Advisors are basically compliance robots, ticking boxes while pretending they're heroes. Broker-Dealers focus on the client experience." Investment Advisor Advocate (Mark): "FINRA is a joke, Sarah. It's self-regulation at its finest—like letting the fox guard the henhouse. The SEC holds us to real standards. That's why clients trust Investment Advisors more. We're not just ‘salespeople with licenses.'" Broker-Dealer Advocate (Sarah): "‘Clients trust us more'—yeah, sure they do, Mark. Until they realize your fees keep piling up no matter what the market does. At least with commissions, clients only pay when they actually do something. Your AUM fees are like a subscription service nobody asked for." Investment Advisor Advocate (Mark): "And your commissions are like hidden fees on airline tickets—always a surprise, and never in the customer's favor." Round 4: Real-World Scenarios Host: "Let's paint a picture. Sarah, what's a scenario where a Broker-Dealer is the better choice?" Broker-Dealer Advocate (Sarah): "Easy. Say a client wants to buy a specific stock or bond. They don't need a long-term plan; they just need execution. Why should they pay Mark's fees when all they want is to buy Apple stock? Broker-Dealers get it done fast, with no unnecessary fluff." Investment Advisor Advocate (Mark): "Right, because nothing says ‘personalized service' like selling a product and disappearing until the next trade. If a client wants real financial planning—retirement strategies, tax efficiency, estate planning—they need an Investment Advisor. Broker-Dealers are fine if you're okay with being a number on a spreadsheet." Broker-Dealer Advocate (Sarah): "And Investment Advisors are fine if you like paying someone to tell you, ‘Just hold onto this ETF and cross your fingers.' You're not planning; you're just stalling." Final Round: Who's Better? Host: "Final thoughts. Why is your model better? Mark?" Investment Advisor Advocate (Mark): "Because we're fiduciaries. We're legally required to act in our clients' best interests. Broker-Dealers might have a place for basic transactions, but if you want someone to actually care about your goals, you need an Investment Advisor." Broker-Dealer Advocate (Sarah): "‘Care about your goals'? That's cute, Mark. My clients want results, not hand-holding. Broker-Dealers get the job done, efficiently and affordably. If you want someone to charge you for overcomplicating things, go with Mark. If you want action, come to us." Investment Advisor Advocate (Mark): "Action? More like sales tactics disguised as advice. Broker-Dealers are all flash, no substance." Broker-Dealer Advocate (Sarah): "And Investment Advisors are all talk, no results. Enjoy your compliance paperwork, Mark. I'll be out here actually helping people." Closing: Host Wrap-Up  

Listen to Part 1 of our two-part series on Common Compliance Mistakes as Oyster's regulatory compliance experts uncover how to spot, prevent, and correct the following issues:Communication Missteps: Closing the Gapsdiscover where CCOs often fall short in capturing off-channel communications such as texts and chat room interactions  gain practical measures every firm should adopt Marketing Compliance Challenges  Marketing presents a minefield of compliance challenges. In this episode we will:identify common mistakesdiscuss the importance of routine reviews and updates to your firm's marketing proceduresshare how to craft tailored disclosures in testimonials and endorsements to align with SEC requirementsoffer first-hand experiences with common issues during SEC examsOyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter. Does your firm need help now? Contact us today!

What is the payout in the RIA model?Simple question, not so simple answer.To perform an accurate comparison, you must:Properly calculate your current payout.Understand how payouts are expressed in the RIA model (spoiler: there is far less uniformity in the RIA space.)Consider what value is provided to you for the payout, and what you're responsible for sourcing yourself.Consider how the resulting payout figures compare across channels and offerings.In this episode of the Transition To RIA question and answer series, I expand on each of these variables.Come take a listen!P.S. Prefer video? You can find this entire series in video format on Youtube. Search for the TRANSITION TO RIA channel.Show notes: https://TransitionToRIA.com/how-does-an-ria-payout-compare-to-a-broker-dealer-payout/About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors understand everything there is to know about WHY and HOW to transition their practice to the Registered Investment Advisor (RIA) model. Brad has 20+ years of industry experience, including direct RIA related roles in Compliance, Finance and Business Development. He has an MBA and has held the 4, 7, 24, 63 & 65 licenses. The Transition To RIA website (TransitionToRIA.com) has a large catalog of free videos, articles, whitepapers, as well as other resources to help advisors understand the RIA model and how it would apply to their unique circumstances.

Send us a textWhat happens when changing regulations collide with private equity in self-storage? Scott sits down with Byron Elliot of Three Pillars Law to explore the evolving landscape of fundraising and legal compliance in real estate investing. From shifting SEC enforcement strategies to the rise of fund-to-fund models, Scott and Byron offer crucial insights into how operators can stay ahead in a tightening market. They also dig into creative financing strategies, how to avoid broker-dealer pitfalls, and why transparency and solid legal practices are non-negotiable when handling other people's money.WHAT TO LISTEN FOR04:40 – SEC enforcement and the impact of stricter penalties17:45 – Distressed assets: Opportunity amidst market shifts20:51 – Creative financing solutions: Owner-carry notes are back39:54 – Byron's advice for navigating private equity Leave a rating for this podcast with one clickCONNECT WITH GUEST: Byron Elliott, Esq. (Managing/Founding Partner Attorney) Website | LinkedIn | Facebook CONNECT WITH USWebsite | You Tube | Facebook | X | LinkedIn | InstagramFollow so you never miss a NEW episode! Leave us an honest rating and review on Apple or Spotify.

In today's episode of You Can Overcome Anything! Podcast Show, CesarRespino.com brings to you a special guest by Brad Baldridge.Brad Baldridge is a Registered Representative with Cambridge Investment Research, Inc. Securities are offered through Cambridge Investment Research, Inc. a Broker/Dealer and a Member of FINRA/SIPC. Brad Baldridge is also Investment Advisor Representative with Cambridge Investment Research Advisors, Inc., a Registered Investment Advisor. Baldridge Wealth Management and Baldridge College Solutions are affiliated. Cambridge and the Baldridge companies are not affiliatedBrad's message to you is: Just do itTo Connect with Brad go to: https://baldridgewealthmanagement.com/To Connect with CesarRespino go to:

In this episode of XYPN Radio, we sit down with Jamie Lima, CFP®, CDFA®, MBA, an XYPN Ambassador, and the founder of Woodson Wealth Management and Allegiant Divorce Solutions, two virtual firms. Jamie's journey is a testament to his entrepreneurial spirit, having transitioned from managing 450 households at large wirehouses to founding his firm amid the COVID pandemic of 2020. Jamie shares his unconventional path to gain marketing momentum, including how posting a profile on Thumbtack outperformed multiple marketing agencies. He also delves into his strategic hiring decisions, from bringing on an Operations Manager as a W2 employee to scaling his firm with 1099 advisors. Jamie Lima's insights are invaluable for anyone looking to start a firm. Get ready to take notes as we explore Jamie's innovative approach to wealth management and business growth. Tune in for a wealth of knowledge and practical advice in this insightful interview with Jamie Lima. What You'll Learn From this Episode: Making quarterly calls with clients to keep your clients engaged and on track with their plan Finding and marketing yourself in spaces where other advisors aren't as present to generate leads and new business How being a virtual firm can broaden your potential client base nationally How growing your firm with 1099 advisors provides flexibility and ownership to your advisors Hiring early before your business is overwhelmed to find the best candidate for your firm How hiring employees who don't have previous financial planning experience can be beneficial and trainable Advice on making the transition from a large broker-dealer to launching your RIA  

Jack Heintzelman is a Financial Planner at Boston Wealth Strategies, and he joins the show today to share how he entered into the financial planning profession. If you're considering a career in financial planning or want to understand the different paths within the industry, this is an episode for you! Listen in as Jack shares his journey into the financial planning profession, detailing his experiences with internships at a wirehouse and an RIA, and the pros and cons of each model. He explains how these internships guided his career post-graduation and led him to an independent broker-dealer firm. Jack also discusses why he chose his current firm, how he has advanced his career while obtaining the CFP and appropriate licensing, and offers tips for new planners on growing confidence and bringing in clients. You can find show notes and more information by clicking here: https://bit.ly/3Lm5x0Q

As the numbers and ranks of advisors at broker dealers continues to decline while the number of RIAs grow,* maybe it's time to consider if you're in the right space to serve your clients and conduct your business. Join guest host, Kirsten Schlumbohm, Vice President, Head of Annuity Sales at C2P, as she speaks with recruiter, speaker, and self-proclaimed “broker-dealer breakup artist,” Alanah Phillips, MBA, as they discuss the growing trend towards RIA independence, why advisors are making this shift, and how to make the shift successfully. Together they explore the pros and cons of different business models, common transition obstacles, and how to recognize when it's time for a change. Alanah shares her process for helping advisors find the right fit and real success stories that emphasize the importance of aligning your business structure with your personal goals and risk tolerance. Tune in for valuable insights whether you're a financial advisor considering a transition or looking to better understand the changing dynamics of the industry.*Source: https://c2pe.info/4bM44MhResources:Alanah's website: Break Up With Your Broker-DealerFree C2P eBook: Broker-Dealer vs Registered Investment Advisor

May 2024 saw the implementation of two major industry projects: T+1 and go-live compliance for CAT/CAIS reporting. Experts Jeff Gearhart and Ralph Magee provide the latest updates on T+1 from industry meetings and key participants, including Affirmation and fail rates, margin balances, securities lending and his outlook for the future around T+1  Our experts also discuss what industry members and clients are seeing post implementation, what they can expect to see in the future, insights into issues that firms are currently struggling with, as well as the need for industry members to consider the data they are providing FINRA and ensure they are prepared for inquiries and sweeps.      Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter. Does your firm need help now? Contact us today!

The TechGirl Financial podcast returns with its seventh season providing deep insights on the financial markets and an inside look at the landscape of our economy. We kick things off with a conversation about the state of the markets today, what to expect in the year to come, and why in times of uncertainty investors should proceed with caution. Episode Links: ·      Franklin Templeton- Anatomy of a Recession ·      Schedule a chat with the TechGirl Financial Team ·      Contact us Securities offered through Registered Representatives of Cambridge Investment Research, Inc., a Broker/Dealer, Member FINRA/SIPC. Investment advisory services offered through Cambridge Investment Research Advisors, a Registered Investment Advisor. TechGirl Financial™ and Cambridge Investment Research, Inc., are not affiliated companies.  Discussions in this show should not be construed as specific recommendation or investment advice. Always consult with your investment professional before making important investment decisions

If you are a start-up or an established wealth management firm, determining whether you want to manage your own operating platform or outsource it is an important strategic decision.  There are many factors to consider, from cost and available resources to integration and client experience.  In today's podcast Oyster experts Dan Garrett and Jay Donlin share their expertise on what goes into establishing and managing your own platform, common pitfalls and using out-of-the-box vendors vs customized builds.  Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter. Does your firm need help now? Contact us today!

Aquiles Larrea returns to Awakened Nation to talk about his new book Wise Up With Your Money! How does someone become a Millionaire? There are several paths: Start a business. Buy a Business. Win The Lottery. Inherit it. Or invest. Aquiles shares the investment strategies he's used over he past 30 years to help his clients achieve financial independence. Strategies he learned in the martial arts. You might recognize Aquiles from "Mornings with Maria" with anchor Maria Bartiromo, Coast to Coast," with Neil Cavuto, Telemundo, Univision and many more. Aquiles and Brad have known each other for over a decade, and Mr. Larrea has appeared on Awakened Nation in Season 1. ABOUT AQUILES LARREA: As founder and CEO of Larrea Wealth Management, Aquiles Larrea Jr. acts as the personal CFO to successful Latino executives and entrepreneurs, helping them pursue the passion- and purpose-filled lives they envision—on their own terms. Aquiles' passion for helping successful Latino professionals and their families make smart financial decisions stems from his own entrepreneurial background and from witnessing his mother's challenges after she was laid off due to downsizing in the garment industry. For the last 20 years, Aquiles has helped clients transform their professional and personal lives. In 2002, he started Larrea Wealth Management with one key mission: To help successful Latinos and their families achieve financial freedom by providing them with a comprehensive wealth management experience delivered by a highly skilled team of experts. Aquiles put himself through college and earned a Bachelor of Science degree from St. John's University. A lifelong student of the martial arts, he holds a Third-Degree black-belt in Shotokan Karate and was a member of the U.S. World Cup Karate Team. Aquiles lives in Manhattan with his wife, Rosabelle, and their two children, Aquiles and Alexandria. Registered Principal, Securities offered through Cambridge Investment Research, Inc., a Broker/Dealer, Member FINRA/SIPC. http://www.finra.org/ Investment Advisor Representative, Cambridge Investment Research Advisors, Inc., a Registered Investment Advisor. Financial Planning Services offered through Larrea Wealth Management, a Registered Investment Advisor. Cambridge and Larrea Wealth Management are not affiliated. Host of Awakened Nation: Brad Szollose --- Support this podcast: https://podcasters.spotify.com/pod/show/awakenednation/support

In today's podcast Oyster experts share their insights into what to think about as you prepare to register an alternative trading system, or ATS.  Jeff Gearhart and Lisa Robinson will discuss challenges and misconceptions, and then Lisa will take us through some highlights of the FINRA application process. We finish up with other things to consider once your ATS is up and running. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter. Does your firm need help now? Contact us today!

Our guest on the podcast today is Andrew Blake. Andrew is associate director of wealth management for Cerulli Associates. He is a member of Cerulli's Wealth Management practice, leading coverage of asset manager distribution strategy for products sold through financial advisors. With a focus on the wealth management landscape, Andrew assesses trends related to advisor use of investment products as well as their relationships with clients and varying practice types. Prior to joining Cerulli, Andrew worked at John Hancock Investment Management and a Boston-area RIA. He has a BBA in marketing as well as management and strategic leadership from Ohio University.BackgroundBioThe Cerulli Report: US Intermediary Distribution 2023The Cerulli Report: US Advisor Metrics 2023ResearchUS Broker/Dealer Marketplace 2023US RIA Marketplace 2023US High-Net-Worth and Ultra-High-Net-Worth Markets 2023US Retirement Markets 2023State of US Wealth Management Technology 2024AdvisorsThe Cerulli Edge: US Advisor“More Advisors Are Making the Move to RIA, Independent Models,” by Josh Welsh, investmentnews.com, Oct. 31, 2023.“The Role of the Retail-Direct Channel in a Growing Financial Planning Profession,” cfp.net, March 28, 2023.“Financial Adviser Shortage Looms, Cerulli Reports,” by Natalie Lin, planadviser.com, Jan. 16, 2024.“Asset Managers Embrace a Technology Arms Race,” cerulli.com, Oct. 27, 2022.“As Retirement Exodus Looms, Rookie Advisor Failure Rate at 72%, Study Finds,” by Ayo Mseka, insurancenewsnet.com, Feb. 12, 2024.OtherCreative Planning“Peter Mallouk: The Financial Advice Industry Is ‘Still Very Messy,'” The Long View podcast, Morningstar.com, March 26, 2024.Vanguard Personal Advisor SelectSchwab Intelligent PortfoliosiCapitalCase IQ

This is a Series 7 Lesson 22 Free Quiz which is covering Fixed Income. Try it and see how you do if you need help listen to the lesson over. Series 7 Lesson 22 Free Quiz This is a Series 7 Lesson 22 Free Quiz which is covering Fixed Income. Try it and see how you do if you need help listen to the lesson over. Questions covered include   We hope you did well on this Series 7 Lesson 22 Free Quiz   The Series 7 Top-Off Study Guide Audio Lessons for the New Series 7 Exam is the most comprehensive set of audio lessons which is available for the preparation to take the New Series 7 Top off Examination the course consists of 74 lessons which amounts to 32 hours and 27 min. in total length. Audio lessons are a supplement and not a substitute for the book learning that you should also be doing. Audio lessons simply allow you to learn comprehend and reinforce what you should also be learning through normal studying methods such as attending classes, reading books, and taking practice quizzes.   The full table of contents for the Series 7 Top-Off Study Guide is located here The New Series 7 Top- Off Study Guide Audio Lessons is 74 lessons and a Total Length 32 hours 27 New Series 7 Exam The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers' Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers' Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers' financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts, transfers assets and maintains appropriate account records” “Provides customers with information on investments and makes suitable recommendations” “Obtains and verifies customer's purchase and sales instructions, enters orders and follows up” These five functions of the new series 7 exam are the same or substantially similar to ones on the current Series 7 exam. A notable change from the existing Series 7 exam is the addition of evaluating customer “risk tolerance.”    Total Course 37 hours 10 Min 37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 59 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam The full course details: 37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 59 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam New Series 7 Exam and SIE Exam details. All candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Off Series 7 Exam. A Series 7 candidate must also have an industry sponsor in order to take the examination to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.

This is a Series 7 Lesson 21 Free Quiz which is covering Fixed Income. Try it and see how you do if you need help listen to the lesson over. Series 7 Lesson 21 Free Quiz This is a Series 7 Lesson 21 Free Quiz which is covering Fixed Income. Try it and see how you do if you need help listen to the lesson over. Questions covered include We hope you did well on this Series 7 Lesson 21 Free Quiz   The Series 7 Top-Off Study Guide Audio Lessons for the New Series 7 Exam is the most comprehensive set of audio lessons which is available for the preparation to take the New Series 7 Top off Examination the course consists of 74 lessons which amounts to 32 hours and 27 min. in total length. Audio lessons are a supplement and not a substitute for the book learning that you should also be doing. Audio lessons simply allow you to learn comprehend and reinforce what you should also be learning through normal studying methods such as attending classes, reading books, and taking practice quizzes.   The full table of contents for the Series 7 Top-Off Study Guide is located here The New Series 7 Top- Off Study Guide Audio Lessons is 74 lessons and a Total Length 32 hours 27 New Series 7 Exam The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers' Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers' Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers' financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts, transfers assets and maintains appropriate account records” “Provides customers with information on investments and makes suitable recommendations” “Obtains and verifies customer's purchase and sales instructions, enters orders and follows up” These five functions of the new series 7 exam are the same or substantially similar to ones on the current Series 7 exam. A notable change from the existing Series 7 exam is the addition of evaluating customer “risk tolerance.”    Total Course 37 hours 10 Min 37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 59 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam The full course details: 37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 59 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam New Series 7 Exam and SIE Exam details. All candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Off Series 7 Exam. A Series 7 candidate must also have an industry sponsor in order to take the examination to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.

In this episode , we'll explore the upcoming shift in the financial industry from a T+2 (trade date plus two days) settlement cycle to a T+1 (trade date plus one day) settlement cycle. Discover the reasons behind this change, its impact on investors, brokers, and the overall market. We'll break down the benefits of a shorter settlement period, including reduced risk and increased efficiency. Stay informed and prepared for this significant update in the trading landscape.

My guest is Etan Butler! Etan is the charismatic and innovative Chair of Dalmore Group, a FINRA-registered national Broker Dealer Investment Bank founded in 2005. Under his leadership, Dalmore has grown significantly, transitioning from traditional investment banking services to specializing in helping companies raise capital through the SEC's Regulation D, Regulation A+, and Regulation CF. Etan has been instrumental in making Dalmore the leading Broker Dealer for Regulation A+ offerings, having served on over 270 such offerings, including some of the most successful in history. A recognized pioneer in the Regulation A+ and Crowdfunding industry, Etan is a frequent speaker on funding innovation and customization and was named industry leader of the year at the 2022 Equity Crowdfunding Awards. Dalmore Group also offers business planning, development, and capital introduction services across various industries, participating in significant investment and structured transactions. Etan is also President of EMB Capital, LLC, investing in early-stage fintech ventures. He graduated from Yeshiva University's Sy Syms School of Business and is registered with FINRA as a General Securities Principal. Etan lives in New York with his wife and three children. Join Etan and me at the upcoming Reg A Conference, the premier event for industry leaders and innovators in the Regulation A+ space. The conference will be held on June 20, 2024, in New York City. It provides a unique opportunity to network with top professionals, gain insights from expert panels, and stay ahead of the curve in crowdfunding and capital raising.  Use code DNA300 to get $300 off your ticket! Don't miss this chance to connect with pioneers like Etan Butler and elevate your knowledge and strategies in the industry. Social and Website: Linkedin: https://www.linkedin.com/in/manujgrover/ Reg A Conference: https://regaconference.com/ Follow Digital Niche Agency on Socials for Up To Date Marketing Expertise and Insights: Facebook: https://www.facebook.com/digitalniche... Linkedin: https://www.linkedin.com/company/digi... Instagram: DNA - Digital Niche Agency @digitalnicheagency • Instagram photos and videos. Twitter: https://twitter.com/DNAgency_CA YouTube: https://www.youtube.com/channel/UCDlz…

Oyster experts Pete Bowman and Dan Garrett share their insights into what the broker-dealer community is facing when it comes to evolving platforms, changing business models, AI technology, firm acquisitions and the platform consolidations that happen afterward. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter. Does your firm need help now? Contact us today!

“The U.S. is trying to disconnect from Ethereum," that's what Joe Lubin the CEO of Consensys said in today's conversation. He was talking about those in power trying to unplug Ethereum from the citizens. The SEC is going after Kraken, Coinbase, Uniswap and Metamask. They're trying to turn every non-custodial wallet into a broker-dealer. We brought on Joe Lubin, a crypto OG and CEO of Consensys the company behind a number of massive crypto projects including the popular Metamask wallet, and Matt Corva, the General Counsel at Consensys, leading the charge against the SEC  Joe and Matt are producing evidence that the SEC is coming after Ethereum itself. Sending discovery requests to Ethereum core developers, threatening their employers - pushing a coordinated effort to claim Ether is a security so they can control it. So Consensys is taking them to court to settle the issue. If they're successful it'll be the first time we get a clear court ruling that Ether is a commodity and not a security. ------

Want to start investing but don't know where to start? Or have you been in the game for a while and need a second opinion? And ultimately, do you want to retire someday?!?! If you answered yes to any of these questions, it's time for you to meet our Investment Services partner, Shelby Rothman CFP®, CPFA, AIF, and the founder of EnJoy Financial.  At EnJoy Financial, they believe you deserve to live the retirement of your dreams. That's why they've dedicated their lives to helping clients design and implement successful financial strategies to reach their goals. If you're looking for a team to guide you at every step on your retirement journey, EnJoy is here to help. To Know More visit TheBetterBankingPodcast.com Follow us on social: Facebook: GainCreditUnion Twitter: @gainfcu Instagram: @gainfcu * EnJoy Financial is a registered representative of Cambridge Investment Research Inc. Securities offered through Registered Representatives of Cambridge Investment Research, Inc., a Broker/Dealer. Member FINRA/SIPC. Advisory services through Cambridge Investment Research Advisors, Inc., a Registered Investment Advisor. CA Insurance License 0C92876. Cambridge does not offer tax advice. Cambridge and EnJoy Financial and Gain Federal Credit Union are not affiliated. Non-deposit investment products are not guaranteed by the credit union, not insured by the NCUA, and may lose value. The views and opinions expressed by hosts and guests of The Better Banking Podcast are not those of Gain Federal Credit Union. Gain is insured by the NCUA and an Equal Housing Lender. NMLS #407810. ©2024 Gain Federal Credit Union

“Hybrid”“Hybrid RIA”“Hybrid Broker-Dealer”Are they the same, or are they different?Depends on who you ask!Solution providers will often tout having a “hybrid” solution. Their version of hybrid though might be very different than what you are assuming they are referring to.In this episode of the Transition To RIA question & answer series I explain how these different “hybrid” solutions vary.Come take a listen!P.S. Prefer video? You can find this entire series in video format on Youtube. Search for the TRANSITION TO RIA channel.Show notes: https://TransitionToRIA.com/what-is-the-difference-between-a-hybrid-ria-and-a-hybrid-broker-dealer/About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors understand everything there is to know about WHY and HOW to transition their practice to the Registered Investment Advisor (RIA) model. Brad has 20+ years of industry experience, including direct RIA related roles in Compliance, Finance and Business Development. He has an MBA and has held the 4, 7, 24, 63 & 65 licenses. The Transition To RIA website (TransitionToRIA.com) has a large catalog of free videos, articles, whitepapers, as well as other resources to help advisors understand the RIA model and how it would apply to their unique circumstances.

Compliance professionals play a vital role in maintaining the integrity and transparency of the ETF industry. Now, that may sound a bit dry, but I assure you, throughout my career, compliance departments have been filled with some of the most dynamic and interesting professionals at the firm. Today, we are joined by Amy Shelton and Melanie Zimdars. Amy Shelton is Senior Vice President and Chief Compliance Officer (CCO) for the American Century Funds, Advisor, Broker-Dealer and global operations. Amy is a member of key oversight committees including the Investment Oversight Committee and the Products & Markets Committee. Amy joined American Century Investments in 1994 and has served as CCO since 2014. In her free time, Amy enjoys cooking and hosting paella parties with her husband.  Melanie Zimdars is Chief Compliance Officer (CCO) of Invesco Capital Management LLC. Prior to joining Invesco, Melanie served as Vice President and deputy Chief Compliance Officer at ALPS Holding, Inc. from 2009 to 2017. Melanie enjoys spending time outdoors with her husband and son, hiking and snowshoeing.  Kristine Delano guides the conversation about fostering team relationships and building strong communication skills in the fast paced world ETF Compliance. Follow on Instagram kristine.delano.writer  Visit www.womeninetfs.com to find additional support in the ETF industry.  Go to www.kristinedelano.com for your Thrive Guide: a compilation of the most requested and insightful advice from our guests on Leadership and Advancement. In partnership with https://www.etfcentral.com/ Book recommendations:  Never Finished by David Goggins Trust by Hernan Diaz

In an ever-turbulent world where technology speeds ahead and the economy is a rollercoaster of disruption, this episode of "Geeks, Geezers & Googlization" brings you a critical conversation that slices through the noise. Host Ira S Wolfe, joined by a power panel including Wall Street leaders Mat Van Alstyne, Jim Toes, and John Aidan Byrne dives deep into the seismic shifts rattling the financial services and labor markets. The conversation covers topics from faith and politics to AI, jobs, and immigration. It's a candid discussion that cuts through the noise, offering fresh perspectives on how businesses, leaders, and workers can adapt to the shifting realities of 2024-2025.  Here are just a few of the thought-provoking and insightful nuggets you'll hear:  The global economy's landscape is shifting so fast, that looking away for a second might mean you've missed a continental drift. Goodbye Europe-centric, hello Asia and Africa! The current economy is a puzzle. Market highs contrast worries about government debt and sustainability. What's your take on this? Immigration's weight on America's job scales is tough to ignore, with everyone from slaughterhouses to Silicon Valley buzzing about its impact. AI's rapid growth demands a pause for thought. Privacy and security issues are at stake as we soar towards a tech-dominated future. Sure, the stock market's hitting some sweet highs, but the health of the economy? Don't believe everything you hear—opinions are split. A tiptoe into the political realm reveals that religion and old-school values are tossing in their two cents on societal strife.  Colleges are closing, and trades are rising. Education's response to market demands is shifting. How will this transition affect our workforce? In addition to our Odeon Capital Conversations regulars Mat Van Alstyne and John Aidan Byrne, Jim Toes is a special guest. Jim Toes is President and CEO of the Security Traders Association (STA), a grassroots trade organization that serves individuals employed in the financial services industry. He also was a candidate in New York's third Congressional district to replace ousted Rep. George Santos. Mat Van Alstyne is Co-Founder and Managing Partner, of Odeon Capital Group, a New York-based independent Broker-Dealer with trading, investment banking, and research services, John Aidan Byrne is an experienced Wall Street business journalist and editor and successful podcast host and producer. He hosts the successful Odeon Capital Conversations podcast as well as the popular Dig Life Deep podcast on which I visit each episode for an update on Future Shock 2.0.  

son23 Securities Act of 1933 Quiz This is a  SIE Podcast Interview Logan Keller This is and interview with a new entrant to the financial services industry, Logan Keller.Logan talks about his background and his interesting path to become a RIA agent. Total Course 37 hours 10 Min 37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 59 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam The full course details: 37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 59 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam New Series 7 Exam and SIE Exam details. All candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Off Series 7 Exam. A Series 7 candidate must also have an industry sponsor in order to take the examination to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate's knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers' Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers' Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers' financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts, transfers assets and maintains appropriate account records” “Provides customers with information on investments and makes suitable recommendations” “Obtains and verifies customer's purchase and sales instructions,

SIFMA's Leslie Norwood joins Bond Buyer Executive Editor Kyle Glazier for a discussion about the regulatory and legislative outlook for broker-dealers. 

Brad Shepherd is a licensed securities broker who helps retail investors take advantage of the upside of real estate ownership without the management headaches. He partners with experienced operators to offer pre-vetted, hassle-free investment opportunities. Brad has been involved in commercial real estate for over 20 years. Along with his own rental portfolio and handful of house flips, his experience includes the development and management of retail and hospitality space, and raising capital from both domestic and international investors. He's been exclusively focused on capital raising for commercial syndications as a broker/dealer representative since 2017. Originally from Utah, after the last 10 years in Austin, Texas, Brad and his young family recently relocated to Boise, ID.   In this episode, we talked to Brad about the pros and cons of getting the broker-dealer status, his methodology in working with the investors, some very useful bits of advice regarding brokerage and certain resources, and much more.   Announcement: You can join the Apartment Investing Mastermind here.   Investment Brokerage;   02:29 Brad's background; 07:49 The pros and cons of getting the broker-dealer status; 11:28 How Brad is working with the investors; 17:21 Resources and advice; 25:01 Round of Insights     Announcement: Download Our Sample Deal and Join Our Mailing List   Round of Insights   Apparent Failure: Brad's first investment as a passive investor. Digital Resource: Any AI tool, and Twitter. Daily Habit: Working out every morning, and then reviewing his day in terms of his goals. #1 Insight for investing passively in commercial real estate: Working with a professional investment broker. Best Place to Grab a Bite in Boise, Idaho: Boise Fry Company.    Contact Brad: brad@sugarhouseinvestments.com    Thank you for joining us for another great episode! If you're enjoying the show, please LEAVE A RATING OR REVIEW,  and be sure to hit that subscribe button so you do not miss an episode.  

A broker-dealer isn't just a guide; it's the key to opportunities, due diligence, and next-level investment experiences. In this episode, Brad Shepherd from Sugarhouse Investments talks about the benefits of investing with a broker-dealer. From a former hands-on landlord to becoming the founder of Sugarhouse Investments, Brad shares his story and what really goes on in real estate syndication. He also touches on the evolution of syndications, choosing the right investment, the broker-dealer advantage, and more. Tune in now!Love the show? Subscribe, rate, review, and share! https://7einvestments.com/podcast/

I'm not a financial advisor; nothing I write in Superpowers for Good should be considered investment advice. You should seek appropriate counsel before making investment decisions.Remember, you can watch the Superpowers for Good show on e360tv. To watch the episode, download the #e360tv channel app to your streaming device–Roku, AppleTV or AmazonFireTV–or your mobile device. You can even watch it on the web.Devin: What do you see now as your superpower?John: When you're working with experienced people, you know what it's like to be in the trenches trying to keep a business running and raise capital. You have this attitude of “we will find a way” that powers my superpower if I have one.Folla Capital CEO John Panaccione speaks in a matter-of-fact manner that makes his unusual wisdom and insight seem banal. It's not. Trust me. He gets things others miss; you'll want to tune in to understand what he's sharing.“We're an investment banking firm,” John says as he begins introducing his firm. “We help small businesses and entrepreneurs think through capital strategies; if and when they need to raise capital, we help them do that. We focus on minorities, women and veterans.” John served as an Army paratrooper in the 82nd Airborne Division in the first Gulf War. “Because of my background, we've served a lot of veterans,” he says.  “But we're not exclusive to those three groups.”Folla Capital helps small businesses raise capital at a meaningful scale, typically over $1 million. FINRA and the SEC authorize the firm to conduct offerings under six different exemptions from registration, including Regulation Crowdfunding and Regulation A+, offerings open to everyone. The firm often helps clients raise under Regulation D 506(c), offering offerings open only to accredited investors. Looking at the investing landscape, John sees advantages for issuers using debt rather than equity.“We're a big believer in debt offerings for small businesses,” John says. “One of the biggest advantages of a debt offering is the investor doesn't have to wait till the company sold to get their money back.”John teased the audience with an upcoming $10 million debt round for a small business in Virginia that is building a manufacturing facility.Folla Capital is currently supporting veteran Marines with a raise for Rally Point Grill. The eight-year-old restaurant business is working to create a successful franchise model to facilitate expansion. The restaurants feature genuine artifacts from past service, much like a museum, to honor veterans in the local community around the restaurant. The $1.2 million revenue-sharing offering is open to accredited investors.John uses his superpower, a combination of experience and a can-do attitude, to grow his business and help clients.AI Episode Summary1. Devin Thorpe hosts the Superpowers for Good Show and introduces John Panaccione, CEO and founder of Folla Capital, emphasizing John's dedication to supporting the veteran community.2. John's firm, Folla Capital, is an SEC-registered broker-dealer investment banking firm that helps small businesses and entrepreneurs develop capital strategies and facilitates capital raising, particularly focusing on minorities, women, and veterans.3. John expresses his dislike for the term "crowdfunding," preferring to describe the capital raising process as using internet technology to leverage various SEC exemptions to fund businesses.4. Folla Capital has successfully completed several capital raises using different SEC regulations, including Regulation D for accredited investors and Regulation CF (crowdfunding) for general public investment.5. John highlights an innovative debt offering through Folla Capital that enables Rally Point Grill, owned by prior-service Marines, to raise capital as if they are the bank for their franchises, allowing both investors and franchisees to benefit from the capital raised.6. Devin discusses the importance of investment crowdfunding in filling funding gaps that banks can't, highlighting the diversity of crowdfunding's role in different stages of companies' growth.7. John believes in the value of debt offerings as opposed to equity for small businesses, as it allows investors to potentially see returns without waiting for a company sale.8. An example of a complex convertible bond offering is mentioned, starting at $10 million for funding a manufacturing facility in western Virginia, with an intention to roll into a $40 million Regulation A offering down the line.9. John credits his military background with the paratroopers as a source of his 'superpower,' which he sees as the never-quit attitude and a strong focus on teamwork honed by his experiences that lead towards finding solutions during tough times.10. John emphasizes the significance of building a strong team of advisors and mentors, especially in entrepreneurship, to foster resilience and suggests that those new to business should not go it alone and instead learn from experienced individuals.How to Develop Experience and a Can-Do Attitude As a SuperpowerJohn didn't come by his superpower–the combination of experience and a can-do attitude–as a genetic trait. He earned it through two framing experiences.“I've been a small business owner and startup entrepreneur,” John says. “I've raised capital the old-fashioned way, and everything that could go wrong did go wrong over 17 years that I ran my startup and I sold it. I like to say I had to have the smile surgically removed from my face the day after I sold it.”That experience provides one-half of his superpower. The other comes from his military service.I was privileged to serve in the Army. I was privileged to serve the country. My specialty was I jumped out of airplanes. I was a paratrooper in the 82nd Airborne Division, and that occurred in my 20s. I was a young man then, my early 20s into my mid to late 20s is when I served there. I was around great leaders, and I learned a lot from great leaders. The top leaders in the Army lead that division because it's the first one to go to war. The culture there was unbelievable. A paratrooper typically–never–has enough resources and is always surrounded. But the culture is you're never going to lose; like there's always a way to win.So, the can-do attitude he learned in the Army pairs with his business experience to give him a superpower to support entrepreneurs.He shared a defining experience from his days as an entrepreneur:I had three banks that provided debt to my first company, a total of about a little over 1.4 million–three different loans. Then, one day, I got three letters from three banks at the same time calling their notes back. I had 30 days to find that money. I remember popping up, thinking about it long and hard. One of the things the military does is it teaches you how to make decisions under pressure. So, I figured out a way out of that–I won't bore you with the details, but I worked a deal with the bankers and my investors to get us through that. And we got through that. That's usually lights out for a company when that happens. But I figured out a third way.The story is powerful evidence of his superpower!John offers two bits of advice for developing a superpower like his.The first is resilience. “To become resilient, you have to expose yourself to danger and failure. And a lot of us don't want to do that. We have a culture where failure is bad,” he says. The reality is our challenges are our most valuable experience.Second, he says, is to remember that business is a team sport. “So, if you're new at it, I'd say quickly develop a team of advisors and mentors around you that have been down the trail before.”By following John's example and advice, you can strengthen your ability to leverage your experience and develop a can-do attitude. With practice, this could become a superpower that enables you to do more good in the world.Remember, however, that research into success suggests that building on your own superpowers is more important than creating new ones or overcoming weaknesses. You do you!Guest ProfileJohn Panaccione (he/him):CEO, Folla CapitalAbout Folla Capital: Folla Capital is an SEC-registered Broker-Dealer.  We help small businesses raise capital and provide general investment banking advisory services for startups, active businesses, and those involved in mergers and acquisitions. Website: www.follacapital.comCompany Facebook Page: fb.com/FollaCapitalBiographical Information: John Panaccione, co-founder of Folla Capital, holds an array of SEC licenses, including Series 7, 24, 79, and 63. Folla Capital is an SEC-registered broker-dealer and helps entrepreneurs and small business owners raise capital. Before his Folla Capital venture in 2020, he co-founded and led the LogicBay Corporation, a software company, from 2003 to its 2020 acquisition by Pluribus Technologies, gaining extensive experience in small business finance and mergers and acquisitions. In 2013, he co-founded VETtoCEO, a non-profit aiding transitioning military personnel in considering entrepreneurship. In 2022, he facilitated the merger of VETtoCEO with Warrior Rising. Before his entrepreneurial career, John held leadership roles in operations and sales across various corporate sizes. He served six years as a U.S. Army officer, primarily in the 82nd Airborne Division paratrooper units.John holds a B.S. in Criminal Justice and an M.B.A. from Bryant University, focusing on Technology and Operations Management.Twitter Handle: @johnpanaccioneLinkedin: linkedin.com/in/john-panaccione-88272/Superpowers for Good is a reader-supported publication. To receive new posts and support my work, consider becoming a free or paid subscriber. Get full access to Superpowers for Good at www.superpowers4good.com/subscribe

Is it time to break up?  As an advisor, it can be hard to know when – and especially how – to break up with your broker-dealer. 

Is it time to break up?  As an advisor, it can be hard to know when – and especially how – to break up with your broker-dealer. 

You don't choose which car to buy based on which dealership brand happens to be closest to where you live.You don't choose which house to buy based on which listing you happen to see first on Zillow.The tail should never wag the dog.Important decisions should be made based on the underlying variables, not based on which decision is logistically easier to make.The same thing applies when picking what type of firm to transition your practice to.In this episode, I explain why choosing a broker-dealer is always easier than choosing an RIA, but if you let the tail wag the dog, you get what you pay for.Come take a listen!P.S. Prefer video? You can find this entire series in video format on Youtube. Search for the TRANSITION TO RIA channel.Show notes: https://TransitionToRIA.com/why-is-it-harder-to-pick-an-ria-to-join-than-a-broker-dealer-to-join/About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors understand everything there is to know about WHY and HOW to transition their practice to the Registered Investment Advisor (RIA) model. Brad has 20+ years of industry experience, including direct RIA related roles in Compliance, Finance and Business Development. He has an MBA and has held the 4, 7, 24, 63 & 65 licenses. The Transition To RIA website (TransitionToRIA.com) has a large catalog of free videos, articles, whitepapers, as well as other resources to help advisors understand the RIA model and how it would apply to their unique circumstances.

Each year the SEC publishes its exam priorities for the coming year. Join us for today's podcast as Oyster Consulting's Capital Markets experts Jeff Gearhart, Frank Childress and Jose Fernandez share their thoughts on the priorities related to broker-dealer trading practices including:·       Rule 15c2-11 ·       Reg SHO·       Reg ATS and filing requirementsOyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter. Does your firm need help now? Contact us today!

Enjoy this discussion with Taylor Loht of NT Capital. We discuss raising capital legally as a broker dealer, what sets great operators apart, his best tips for raising capital, how he uses his podcast to grow his business, and how he is using systems to grow his business while reducing his workload. Connect with TaylorPassive Wealth Strategy Showhttps://www.passivewealthstrategy.com/Support the podcast by making a monthly donation through Patreon. When you contribute, you'll get access to bonus content not available anywhere else. If you enjoyed this episode, you would probably enjoy reading my weekly newsletter. Every Friday, you'll get a behind the scenes look at my investing, including current events in commercial real estate, deals I'm working on, and random personal things going on in my life. It's a super quick read and you can unsubscribe anytime. - Jonathan Subscribe to the newsletter here: www.thesourcecre.com/newsletterEmail Jonathan with comments or suggestions:podcast@thesourcecre.comOr visit the webpage:www.thesourcecre.com*Some or all of the show notes may have been generated using AI tools.

Join us for Part 2 of our discussion with Mark Hendrickson from D.A. Davidson Companies about where CAT and CAIS reporting stands today, the pain points firms are facing and what they should be doing to manage the current and upcoming reporting requirements. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter. Does your firm need help now? Contact us today!

Step into the exhilarating world of real estate investing with Nico on the Small Axe Podcast as he welcomes Taylor Loht, the host of the Passive Wealth Strategy Show. Taylor shares his captivating journey into the realm of real estate and multifamily syndication, which began with a quest to break free from the limitations of stock market investing. Discover how Taylor overcame obstacles and unlocked the power of collaborating with others to acquire large multifamily properties. In this episode, he sheds light on the critical aspects of self-directed IRAs and choosing the right custodian to fund your initial real estate ventures.   Here is a breakdown of what to expect in this episode: Legal Compliance and Raising Capital in Real Estate Syndications The Role of a Licensed Broker-Dealer Representative in Real Estate Investments Unlocking the Power of 1031 Exchanges and DSTs in Real Estate From Genuine Investor to Licensed Capital Raiser Creating Alignment and Integrity in Real Estate Syndication Investments And so much more!     About Taylor Loht: Taylor Loht is a well-known figure in the realm of real estate investing, with a strong focus on multifamily and self-storage property investments. He has established a diversified portfolio spanning prominent markets like Dallas, Houston, Atlanta, Phoenix, and mid-Michigan. Taylor is the brains behind Passive Wealth Strategy, a company that specializes in passive real estate investments. One of its key features is the "Passive Wealth Strategy Show" podcast, where he hosts weekly guests from the real estate industry. The podcast covers various topics related to multifamily investing, value-added commercial properties, and the FIRE (Financial Independence, Retire Early) movement.   Connect with Taylor Loht on… Website: https://ntcapitalgroup.com Website: https://www.passivewealthstrategy.com/ Instagram: https://www.instagram.com/passive_wealth_strategies/?hl=en Podcast: https://podcasts.apple.com/us/podcast/passive-wealth-strategy-show-real-estate-for-busy-pros/id1461341464   Connect with Nico Salgado! Website: www.smallaxecommunities.com Facebook: https://www.facebook.com/nicosalgado456, Podcast: https://podcasts.apple.com/us/podcast/small-axe-podcast/id1528971543 LinkedIn: https://www.linkedin.com/in/nicosalgado456/ Spotify: https://open.spotify.com/show/6edqbvXc6JCXuSg2lbSJeD YouTube: https://www.youtube.com/@nicosalgado1753 Amazon: https://www.amazon.com/-/es/dp/B08K4T9YTH

 Many introducing broker-dealers are moving to affiliate with another broker-dealer.  Join Oyster Managing Directors Pete Bowman and Dave Williams as they discuss what affiliation means for broker-dealers, what is driving firms to the strategy, and what part the advisory side of the business plays when firms consider affiliation. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter. Does your firm need help now? Contact us today!

Cory Roberson serves as the Founder/CEO of FIN Compliance (FinCompliance.io), a comprehensive consortium specializing in compliance, consulting, and training management solutions tailored to assist boutique investment firms in structuring, maintaining, and enhancing their internal regulatory review programs.In collaboration with partner brands like FIN Disclosure, Lancer, and Auditor, Cory addresses compliance, consulting, disclosure, and training challenges within the broader financial services ecosystem. This ecosystem encompasses investment advisors, Broker-Dealer (hybrids), auditors, and financial service consultants.Cory is a member of the National Association of Insurance and Financial Advisors (NAIFA). His firm, FIN Compliance, has earned recognition with the National Association of Personal Financial Planners (NAPFA), the Association of African American Advisors (ÁAAA), Kitces.Com Advisor Tech Directory, and has been featured in various articles in Financial Planning Magazine.Cory has also been a featured speaker at notable events, where he has engaged in discussions such as “RegTech & The Current State of the Compliance Ecosystem” at the FinTech Diaspora Forum, sponsored by Prohaus VC, The Fintech School, and Innovate the Next. Additionally, he has spoken on “RegTech: Re-Engineering Compliance for Wealth Managers and Financial Advisors” during the ICO4Impact Virtual Summit, sponsored by Beyond Capital Markets. His previous publications include an article titled “Raising the Bar for Compliance: 10 Tips for Practice Management,” which was featured in a Financial Planning Association – Silicon Valley (FPA) newsletter in 2014.Impact:Over the course of 15 years, Cory has devoted his time to volunteering with three church ministries, school programs, and currently a youth-based organization in Fairfield (“Leaders of Men”). As a part his past global projects, Cory has held business sessions and classroom instruction for students in South Korea, China, South Africa, Thailand, Peru, and India. In alignment with his book, “From Student to Entrepreneur: Making the Transition to Business,” Cory is a dedicated design strategist with a fervent commitment to creating a space for innovation, ministry, creativity, and business.Learn more:https://fincompliance.io/Influential Entrepreneurs with Mike Saundershttps://businessinnovatorsradio.com/influential-entrepreneurs-with-mike-saunders/Source: https://businessinnovatorsradio.com/interview-with-cory-roberson-founder-and-ceo-with-fin-compliance

Cory Roberson serves as the Founder/CEO of FIN Compliance (FinCompliance.io), a comprehensive consortium specializing in compliance, consulting, and training management solutions tailored to assist boutique investment firms in structuring, maintaining, and enhancing their internal regulatory review programs.In collaboration with partner brands like FIN Disclosure, Lancer, and Auditor, Cory addresses compliance, consulting, disclosure, and training challenges within the broader financial services ecosystem. This ecosystem encompasses investment advisors, Broker-Dealer (hybrids), auditors, and financial service consultants.Cory is a member of the National Association of Insurance and Financial Advisors (NAIFA). His firm, FIN Compliance, has earned recognition with the National Association of Personal Financial Planners (NAPFA), the Association of African American Advisors (ÁAAA), Kitces.Com Advisor Tech Directory, and has been featured in various articles in Financial Planning Magazine.Cory has also been a featured speaker at notable events, where he has engaged in discussions such as “RegTech & The Current State of the Compliance Ecosystem” at the FinTech Diaspora Forum, sponsored by Prohaus VC, The Fintech School, and Innovate the Next. Additionally, he has spoken on “RegTech: Re-Engineering Compliance for Wealth Managers and Financial Advisors” during the ICO4Impact Virtual Summit, sponsored by Beyond Capital Markets. His previous publications include an article titled “Raising the Bar for Compliance: 10 Tips for Practice Management,” which was featured in a Financial Planning Association – Silicon Valley (FPA) newsletter in 2014.Impact:Over the course of 15 years, Cory has devoted his time to volunteering with three church ministries, school programs, and currently a youth-based organization in Fairfield (“Leaders of Men”). As a part his past global projects, Cory has held business sessions and classroom instruction for students in South Korea, China, South Africa, Thailand, Peru, and India. In alignment with his book, “From Student to Entrepreneur: Making the Transition to Business,” Cory is a dedicated design strategist with a fervent commitment to creating a space for innovation, ministry, creativity, and business.Learn more:https://fincompliance.io/Influential Entrepreneurs with Mike Saundershttps://businessinnovatorsradio.com/influential-entrepreneurs-with-mike-saunders/Source: https://businessinnovatorsradio.com/interview-with-cory-roberson-founder-and-ceo-with-fin-compliance

When do you start saving for your children's college education as a parent? Today, we are joined by Brad Baldridge, a renowned resource in the field of college finances. With a wealth of experience and insight, Brad unraveled the intricacies of planning and saving for your child's future education.Disclosures: The information provided to you today is for educational purposes only. It is not intended to be specific recommendations or advice. Please consult with a qualified professional before acting on any of this material. Investing involves risk. Depending on the types of investments, there may be varying degrees of risk. Investors should be prepared to bear loss, including total loss of principal. 529 College Savings Plans: Investors should carefully consider investment objectives, risks, charges, and expenses. This information and other important information are contained in the fund prospectuses, summary prospectuses, and 529 Product Program Description. These documents can be obtained from a financial professional or directly from the plan's website. Please read them carefully before investing. Depending on your state of residence, there may be an in-state plan that offers tax and other benefits, which may include financial aid, scholarship funds, and protection from creditors. Before investing in any state's 529 plan, investors should consult a tax professional. If withdrawals from 529 plans are used for purposes other than qualified education, the withdrawal could be subject to a 10% federal tax penalty, state penalties, federal income tax, and state income tax. Brad Baldridge: Brad Baldridge is a Registered Representative with Cambridge Investment Research, Inc. Securities are offered through Cambridge Investment Research, Inc., a Broker/Dealer, Member FINRA/SIPC.Brad Baldridge is also an Investment Advisor Representative with Cambridge Investment Research Advisors, Inc., a Registered Investment Advisor. Baldridge Wealth Management and Baldridge College Solutions are affiliated. Cambridge and the Baldridge companies are not affiliated. Registered branch location: 10521 W. Layton Avenue, Suite 200, Greenfield, WI 53228 6/20About the Guest:Brad Baldridge is one of the nation's leading college financial experts. He teaches families the best ways to plan, save, and pay for college so they can make their children's college dreams come true without wiping out their finances or their retirement.For over 20 years, he has shared his expertise and insights through his private practice as a blogger and host of the Taming the High Cost of College Podcast and as a presenter at numerous workshops and seminars.https://tamingthehighcostofcollege.com/https://www.facebook.com/TamingTheHighCostOfCollegehttps://www.linkedin.com/company/taming-the-high-cost-of-college/https://tamingthehighcostofcollege.com/category/podcast/

Taylor Loht is an experienced Multifamily and Self Storage real estate investor, who decided to break into real estate in 2015 following Wall Street's major correction that year.  In the time since he made the shift, Taylor has acquired, invested in, partnered on, or otherwise had a hand in over $250 million dollars in Multifamily & Self Storage Real Estate Investment Deals. He teaches others how to build passive income through real estate investing and the personal finance concepts of the FIRE movement. He focuses on real estate because it has features and a track record unlike any other asset class.  He's also knowledgeable about real estate syndication, multifamily investing, self storage, turnkey real estate, personal finance, and other financial independence related topics.    In this episode we talked to Taylor about what his multifamily portfolio looks like today, his shifting approach to investing in apartments, why it's difficult to find a good deal in self-storage, how hiring and podcasting helped him grow, and why he became a licensed broker-dealer.   Announcement: Join our Apartment Investing Mastermind   Creating Opportunities;   00:00 A need for updating Taylor's bio ; 03:55 A shifting approach to investing in apartments; 07:58 Why it's difficult to find a good deal in self-storage; 11:03 Creating an opportunity through hiring & podcasting; 17:13 Buying your time - Rewards & what's holding you back; 21:20 How becoming a licensed broker-dealer can help; 25:30 What's a broker-dealer;   Announcement: Download Our Sample Deal and Join Our Mailing List   28:15 Round of Insights   Apparent Failure: Coming up short with a deal. Digital Resource: ActiveCampaign Most Recommended Book: Crucial Conversations Daily Habit: Training Brazilian Jiu-Jitsu #1 Insight for Raising Capital for Real Estate: Help people and answer questions. Best Place to Grab a Bite to Richmond: Goatocado    Contact Taylor: To learn more go to ntcapitalgroup.com or investwithtaylor.com Click here to listen to the previous episode we did with Taylor. You can find the book The Strangest Secret here.   Thank you for joining us for another great episode! If you're enjoying the show, please LEAVE A RATING OR REVIEW,  and be sure to hit that subscribe button so you do not miss an episode.  

In this episode, I sit down with Tim Lyons, a true Renaissance man with an extraordinary journey from serving as a lieutenant in the New York City Fire Department to becoming a multifaceted real estate investor and best-selling author.Tim's remarkable story is one of perseverance and a burning desire to secure a better future for his family. His initial foray into real estate was driven by the quest for passive income and financial freedom. As he embarked on his investment journey, he discovered the profound potential of real estate in generating passive income and building lasting wealth.In this engaging conversation, Tim shares how he founded Cityside Capital, a thriving real estate investment company that has partnered in over $1.4 billion worth of commercial real estate assets, including thousands of multifamily units. He highlights the importance of education, mentorship, and networking in his journey towards success.Discover Tim's unique insights into the power of real estate investing, his co-authorship in the Amazon #1 bestselling book "Bringing Value, Solving Problems and Leaving a Legacy," and his role as co-host of "The Passive Income Brothers Podcast" alongside his brother, Greg Lyons.Tune in to gain valuable knowledge and inspiration from Tim's incredible story and expertise in the world of real estate investment. Learn how he leverages his experiences as a firefighter, RN, and investor to help others achieve financial freedom through smart real estate choices. Don't miss this opportunity to hear from a true industry leader who knows that, just like in the fire department, having the right tools and knowledge can make all the difference.Show Highlights:✅01:44 - Who is Tim?✅06:48 - Broker Dealer✅13:33 - Broker Dealer License✅22:13 - Alternative Investments✅30:07 - Top 5 toppings✅34:21 - Contact Tim

We did a deep dive into a ton of topics like Registered Investment Advisors, Broker Dealers, Real Estate Syndication, Raising Capital, Fund Management and working with BIG check writers. Don't sleep on Rob Anderson, this guy is a wealth of knowledge, a seasoned syndicator, multifamily developer, great human being and fun to hang out with.   Full show went over topics like: Transitioning from the Securities world into Syndication Raising as a broker dealer Transitioning from single check writers to an LP database Referrals and strong communications Why syndicators are  getting into development Shifting away from Funds due to managing administration   Find Rob at https://bvcapitaltx.com Get all your syndication and capital raising marketing at pitchdecks.com  If you would like to find out more about Family Office Capital Raising events you can visit lnkd.in/gD6mJ5gp Book a call with Ruben at calendly.com/rlgreth