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So You Want to Be a Financial Planner

The Annotated Table of Contents

Chapter One: Why?
A brief overview of the industry and thought-provoking questions potential financial planners need to ask themselves before embarking upon a career in the financial services industry.

Chapter Two: Back to School
The importance of the CFP® credential, finding the right school, how to study, what to expect, sample questions from the comprehensive test, where to go for help and the importance of finding a mentor.

Chapter Three:Who’s the Boss?
From Wirehouses to Sole Proprietorships, Banks, Broker/Dealers and Insurance Companies: what to ask, what to avoid, and what it takes to be on your own. Who can help and how to get paid.

Chapter Four: The Dreaded Regulatory Stuff
Keep out of trouble with the many and various powers that be by correctly setting up the practice, keeping proper records and playing by the rules right from the beginning. Legal, compliance and ethics authorities provide straightforward pointers on how to run a responsible business.

Chapter Five: Setting Up Shop
The software, the hardware, the network and other resources, plus tips on putting a professional financial planning office together, and a shopping list with start-up items. Advice from the best on what's needed to start. Dealing with clients and staff, vendors and brokers, media and mentors.

Chapter Six: Marketing 101
Tips from those who have been there and done that: The marketing tools that got them started and what they wish they had done differently. They know what works, and share their expertise so new planners can jump-start their careers.

Chapter Seven: From Plotter to Planner in Less Than Five Years
Blow by blow narratives from planners who have been in the industry five years or less, and how they made the transition. First-hand accounts detailing obstacles and triumphs encountered as new practices were dreamed about, created and flourish in today's exciting financial planning community.

Chapter Eight: Get a Life!
Financial Planners tend to be type "A" personalities (aka workaholics). There are lots of diverse activities planners can participate in during the normal course of business, but it's crucial to keep balance. This chapter will explore ways to keep that balance, in spite of 60-hour workweeks.


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