Virtual Event

Ask Me Anything: Leaving a Broker-Dealer to Launch an RIA

May 1, 2024 @ 9 AM PT / 12 PM EST

As part of our ongoing "AMA Series," this session promises to be another engaging and informative event giving you a front-row seat to advisors who've been there, done that, successfully.  

If you’re wondering about the realities of moving from employment at a broker-dealer to launching your own RIA, you’ll want to join this AMA with XYPN Members Marianne Nolte, CFP®, and Erik Nero, CFP®, CCFC.  This is your chance to hear from those who’ve been in your shoes and worked through familiar challenges to ask them any hard-hitting questions you may have.  

Enjoy a candid discussion about:

  • The motivations behind their transition from broker-dealer to RIA ownership
  • Overcoming the challenges encountered during the transition
  • Navigating initial registration and ongoing compliance
  • Strategies for maintaining client relationships throughout the process
  • Practical tips for establishing and growing your own RIA

Whether you're a seasoned professional or just starting as a financial advisor, this AMA is your chance to get valuable insights from the front line. Bring your best questions and join us for an engaging conversation about the journey to true autonomy in the RIA space.


Marianne Nolte, CFP® Headshot

Marianne Nolte, CFP®

Imagine Financial Services

Register Now