Ep #25: RIA Compliance: Staying Compliant When You Start and Run Your Firm
This week on #XYPNRadio, I am excited to bring you what you need to know about RIA compliance. We’re chatting with Jim Cullen, President of Financial Planners Assistance Corp. FPAC is a compliance firm that works with independent RIAs and financial planning firms.
Jim has an incredible wealth of knowledge about RIA compliance and broker-dealers. He also has a diverse and interesting background and is someone I think everyone can learn a lot from.
In our conversation, we dive into the events that led Jim to focus on compliance for financial planning firms. After working at several large firms, Jim went on to become president at his current company while still staying on good terms with previous partners.
Turn up and the volume and listen in as Jim and I chat about his career path and how to get into the compliance market before diving into tips and tools for RIA compliance that all advisors need to know about.
This is one episode that you cannot afford to miss. Listen in below!
Listen to the Full Interview:
What You’ll Learn From This Episode:
- How to get into compliance field for financial planning firms.
- Why Jim loves RIA compliance.
- How Jim was able to leave his old company on good terms.
- The difference between compliance requirements from FINRA and from broker-dealers.
- The #1 thing that new firm owners need to do to stay compliant.
Featured on the Show:
- Connect with Jim: Financial Planners Assistance | Twitter | Email
- XYPN Blog: How New Advisors Can Make It Through The Gap by Matt Becker
- Jeff Rose
- Franklin Templeton
- Raymond James
This Episode Is Sponsored by: