Skip to main content

goRIA: Think you still need your Series 7? Think again!

BY David Lau
September 13, 2023

As we know by now… there are many alternatives to commission-based products. There are fee-based annuities, insurance, and, alternative investments. But, now, there’s actually another solution to consider for your “legacy” BD business. This week, Chuck talks with DPL’s David Lau about an interesting new way for advisors leaving the BD world to hold on to their legacy variable annuities & mutual funds (and get paid on them) all without needing to have a Series 7. Sound too good to be true? Check out this episode to see how.

DPL


©2023 DPL Financial Partners, LLC. All rights reserved.

DPL Financial Partners does business in the state of California as DPL Insurance Solutions
under California License #0M42434.

Securities offered through The Leaders Group, Inc. Member FINRA / SIPC
26 W. Dry Creek Circle, Suite 800, Littleton, CO 80120 • 303-797-9080
DPL Financial Partners is not affiliated with The Leaders Group, Inc.

Check the background of this firm on FINRA’s BrokerCheck.

FOR REGISTERED INVESTMENT ADVISOR USE ONLY. NOT TO BE USED FOR CONSUMER SOLICITATION PURPOSES.