I’ll warn you if you’re in the financial industry and want to be “personally entrepreneurial” there are challenges. I had an inactive license with a B-D, that was in process of preparing for a desperately needed M&A deal to stay afloat. When they got wind of my book they said, “ease and desist.

My consulting firm advised their predecessor Montauk Financial in 2005 and allowed me to hang my license as a courtesy. They were under financial pressure so my unlimited trading access was part of the fee. Eventually First Allied Securities bought them. So technically I wasn’t an employee only an outside business consultant.

They tried to sue me for all of the “free” platform costs incurred over the eight years while  managing my own account! This history is relevant because the second book is about having wherewithal to stand up to abusive companies and it became the perfect PR moment.

Of course they lost their financial case but retaliated by compromising my license, which in hindsight, I should had terminated years ago.

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Financial Freedom Activist / Foster Economic Understanding / Series 65 / Uniform Investment Advisor / Law Examination/ June 18 2004/ Tagged First Allied / Kevin Palmer Series 63 Uniform Sales securities Agent State Law Examination/ June 7, 1985 /  Securities Fraud Reports /  Series 7 general securities Representative / Examination May 18.1985 / FINRA Disciplinary Action / Series 8 /General Securities Sales Supervisor Examination /Options Module & General Module / Financial Literacy / Enable Economic Dignity / Improve Life Quality / Resist /Question Authority) Terminated Economic Abuse

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