Art Stein is a financial advisor and business owner. He’s in an industry that is heavily regulated with compliance and has found a way to be independent and still be compliant. From having too small an office to outsourcing, Art discusses how he makes his business work, without having employees. We also dive into two other important areas:
- How he gets manages the client process and
- Two of his unique marketing strategies
The industry for investment advisors, also known as financial planners and financial advisors, has become very regulated over the past several years. This makes being a small business owner in this industry challenging. Art shares several ways he works with the new regulations and how he helps his clients.
This episode has some great nuggets for financial advisors who are thinking about starting their own business. Find out how to build your team and focus on your strengths, not trying to do everything.
There is also wonderful information for someone looking for a financial advisor and the questions to should ask before hiring one.
Listen along to this episode and get insights to growing and expanding your business. If you like what you hear, please leave us a review on iTunes. You’ll find instructions here. Like what you hear? Tell a friend or colleague!
Financial Industry Regulatory Authority (FINRA) This is where you can check out details on your broker.