Successful Financial Planners


Allen Duck

Free Kindle Promotion: Feb 21, 2013 – Feb 25, 2013


The old adage goes “If you fail to plan, your plan will fail!” Its obvious but more often than we think we rely on hope and good fortune to get us to our goals, cry foul and seem surprised when bad luck befalls us. Today the need to consider our futures and plan for our retirement is no longer an option, its essential. Add to this the desires we all have for our kids college education, a second home or just less of a mortgage and relying on nothing but fate is simply stupid.

Have you read a Social Security statement recently? You should, it clearly states that the challenge facing social security is immense, after 2041 the legally approved payout will be reduced by approximately 27%. Put a $1.00 in and get 73 cents back at retirement – that is not a plan any one should be relying on. In the meantime the pressures are well reported and clearly a problem, taking responsibility for your own affairs is now more relevant than it ever has been and working with a planner just makes sense.

Financial Planners are a distinct group of professionals, they are often skilled in many disciplines, few of which we can truly be expected to understand. In the same way a Do-It-Yourself (DIY) carpenter knows about wood, he is not a cabinet maker, a DIY investor is not a planner [certainly in most cases.] The intricacies and interrelated nature of tax law, investment vehicles, economics and global politics, client situation and time of life all play a part in how ones future could and should be shaped. A good financial planner provides the insights required to create the map that confirms where one is in the now, where they desire to be and how long they wish to take in completing the journey. The investing of current assets and future assets from a taxable and tax deferred standpoint, availability of money for emergencies and managing returns against risk tolerance of the individual, all can be accommodated and dealt with, once you have the plan and are committed to it.

The professionals who have contributed to Successful Financial Planners have varied backgrounds, work in varied types of financial firms and operate different company models. Not all of these individuals would be suitable planners for all clients, some have asset minimums, some cater to particular sections of society. So the message for clients looking for a successful relationship with a planner is Interview more than one firm.

If you are considering a career as a planner, and the reasons to do so are many, do not be dissuaded by short periods of extreme hardship and seemingly insurmountable odds.

If you are considering hiring a planner (or seeking replacing your existing firm), read the interviews contained within Successful Financial Planners to get an insiders view into the world of financial planners.

25 unique perspectives shed new light on what it takes to succeed in the competitive field of financial planning. Featuring:


  • Don Barton
  • Larry Carroll
  • Dick Coe
  • Michael Curtis
  • Vinton Fountain
  • Steve Girard
  • John Grillo
  • Sheldon Harber
  • Lorraine Hart
  • Lisa Heath
  • Bryan Kelly
  • Greg Makowski
  • Chris McGrath and Josh Schwartz
  • Harris Nydick
  • Cheryl Patterson
  • Dave Petso
  • Jim Regitz
  • Jared Roskelley
  • Darin Shebesta
  • Gerald Steffes
  • Keith Wetjen


  • Henrietta Nye
  • Jeff Rattiner
  • Joel Weiner


  • Amy Webber

Commentary from the Author:

Exactly what is a Financial Planner? Where does the art separate from the science of what it takes to be a successful Financial Planner? Only after immersion in the business and exposure to the full extent of what Financial Planning encompasses can someone understand the degree of work and the levels of reward experienced by Financial Planners.

As a newcomer to the industry with a significant business background I had determined the best way to find out about the industry and how it ticked was speak to people who had either by exam or by tenure qualified to call themselves Planner in a legitimate sense. I learned that its complicated, it demands dedication and planners are a varied group with an assortment of backgrounds. And the industry is dynamic, it’s changing as are the needs of the clients. Baby Boomers are no longer gathering assets at the rate they once were but looking at spending those assets and so a major shift is underway. The work can be hard but the rewards significant as a tangible financial return and intangibly. Client gratitude and the satisfaction of participating in the lives of families and witnessing their evolution and positive financial growth is very gratifying. Each of the people interviewed for this book invoke the very best character and dedication to their craft and to their clients.

About the Author

Allen Duck is a Financial Planner and Consultant working with Financial Service professionals in the areas of succession planning and growth by acquisition. He can be reached at or

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