In a world managed to the lowest common denominator and driven by heavy-handed compliance, every employee advisor is vulnerable. In this episode, Mindy and Louis break it all down, share warning signs all advisors should pay attention to and proactive steps an advisor can take to protect themselves.

Are You Vulnerable? An Advisor’s Guide to Surviving and Thriving in a Hyper-Compliant Environment— A Special Industry Update

Launched in 2017 as Mindy Diamond on Independence, the show has taken on a broader perspective beyond the independent space to include topics, insights, and candid conversations around financial advisor transitions, growth, and an ever-changing industry landscape. Each episode is designed to offer objective guidance and actionable advice with some of the industry’s brightest movers and shakers.

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Are You Vulnerable? An Advisor’s Guide to Surviving and Thriving in a Hyper-Compliant Environment— A Special Industry Update

Are You Vulnerable? An Advisor’s Guide to Surviving and Thriving in a Hyper-Compliant Environment— A Special Industry Update

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