Ep #64: Transitioning From a Broker Dealer to a Tax and Financial Planning Firm with Carol Ann Casebolt

Carol Ann Casebolt is a Wealth Advisor at Martin & Company Tax and Wealth Advisors based out of Valencia, CA. She joins the show today to share what led her into the financial planning field, as well as how her career has evolved since securing her first internship.

Listen in as Carol Ann opens up about her career trajectory, from starting at a large investment company to moving to a broker dealer firm, then ultimately landing at a small, family-owned RIA. You'll learn how her experiences at those organizations helped to shape the ideal client experience she was striving to provide, what new planners can do to free up time for their senior planner, and what the industry can do to attract more women to the profession.

What You'll Learn In Today's Episode:

What Carol Ann's role as a Wealth Advisor entails. (2:10)
What her experience has been managing a new associate planner. (5:15)
How she first became interested in financial planning and what her career trajectory has looked like. (7:30)
How she eventually landed at a small, family-owned RIA. (17:45)
How she successfully navigated from a large organization to a small firm. (18:45)
What prompted Carol Ann to accept the job with her current employer. (22:10)
Her tips for new planners. (23:30)

Ideas Worth Sharing:

”It was a leaning curve, in a sense, that now I was working with a bigger book of clients—higher net worth—and we had a lot of different products and services that I had to learn.” - Carol Ann Casebolt Share on X ”It was a high pressure job, and ultimately, I decided that I wanted to focus solely on financial planning.” - Carol Ann Casebolt Share on X ”It really does take a few years, in my opinion, to build up trust and relationships.” - Carol Ann Casebolt Share on X

Resources In Today's Episode:

Carol Ann Casebolt : LinkedIn
Rock The Street, Wall Street

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