In this episode, we delve into the crucial topic of finances and taxes for emerging business owners. Navigating the transition from a corporate environment to crafting an independent business can be a significant challenge, particularly when establishing your company's financial framework, including payroll, taxes, and benefits. In this episode, part of our Beyond the Broker series, we are honored to have Sandy Petty, a leader in client accounting services, joining us. Sandy brings a wealth of knowledge and expertise, discussing the importance of building a robust financial infrastructure necessary for the successful growth of your firm. We will explore critical components such as securing startup capital, developing a comprehensive business plan, and ensuring adequate insurance coverage. Sandy shares her professional journey—from her beginnings in Aruba and her involvement in basketball to her distinguished career in the finance sector. Her experiences and insights are invaluable for those looking to establish a strong foundation as they transition into financial independence. Prepare for an engaging and informative discussion, providing you with the tools and understanding needed to confidently manage and grow your business. Contact Our Guest: www.executivefinancialpartners.com  / pettysandy   Meet the women behind the millionaires, the women supporting, guiding, and celebrating women with their wealth. You’ll hear from women millionaires, how they got there, what they wish they had known, what got them to be a millionaire. The emotional side, spiritual side, and practical side of wealth. But also the women behind the scenes making it happen. Let's dive into women behind the millions. New episodes release every week: https://www.thewealthboutique.com/

In this episode, we're diving into the essential world of regulatory compliance in the financial services industry with our esteemed guest, Kristen Guerrero. Boasting over 20 years of experience, Kristen is the founder of RIA Compliance Key, a boutique firm specializing in guiding SEC registered firms through the complexities of compliance. Kristen shares her remarkable journey, from starting as a college intern to becoming a leader in compliance. We explore her pivotal decision to launch her own firm, the critical role compliance plays in the financial sector, and the courage and insight required to transition from a traditional career path to independence. Kristen offers practical advice for those contemplating starting their own Registered Investment Adviser (RIA) or making a strategic move to a new firm, emphasizing the importance of thorough research, understanding your motivations, and leveraging valuable resources. Join us for a conversation filled with inspiration, practical tips, and invaluable insights, tailored for anyone navigating the financial industry's complex landscape. Whether you're a seasoned professional or someone eyeing a significant career shift, this episode is packed with wisdom to guide your journey. Tune in and discover how compliance can be a strategic ally in building a successful financial practice. Contact Our Guest: www.riacompliancekey.com  / kristen-guerrero   Meet the women behind the millionaires, the women supporting, guiding, and celebrating women with their wealth. You’ll hear from women millionaires, how they got there, what they wish they had known, what got them to be a millionaire. The emotional side, spiritual side, and practical side of wealth. But also the women behind the scenes making it happen. Let's dive into women behind the millions. New episodes release every week: https://www.thewealthboutique.com/