Podbean logo
  • Discover
  • Podcast Features
    • Podcast Hosting

      Start your podcast with all the features you need.
    • Podbean AI Podbean AI

      AI-Enhanced Audio Quality and Content Generation.
    • Blog to Podcast

      Repurpose your blog into an engaging podcast.
    • Video to Podcast

      Convert YouTube playlists to podcasts, videos to audios.
  • Monetization
    • Ads Marketplace

      Join Ads Marketplace to earn through podcast sponsorships.
    • PodAds

      Manage your ads with dynamic ad insertion capability.
    • Apple Podcasts Subscriptions Integration

      Monetize with Apple Podcasts Subscriptions via Podbean.
    • Live Streaming

      Earn rewards and recurring income from Fan Club membership.
  • Podbean App
    • Podcast Studio

      Easy-to-use audio recorder app.
    • Podcast App

      The best podcast player & podcast app.
  • Help and Support
    • Help Center

      Get the answers and support you need.
    • Podbean Academy

      Resources and guides to launch, grow, and monetize podcast.
    • Podbean Blog

      Stay updated with the latest podcasting tips and trends.
    • What’s New

      Check out our newest and recently released features!
    • Podcasting Smarter

      Podcast interviews, best practices, and helpful tips.
  • Popular Topics
    • How to Start a Podcast

      The step-by-step guide to start your own podcast.
    • How to Start a Live Podcast

      Create the best live podcast and engage your audience.
    • How to Monetize a Podcast

      Tips on making the decision to monetize your podcast.
    • How to Promote Your Podcast

      The best ways to get more eyes and ears on your podcast.

    • Podcast Advertising 101

      Everything you need to know about podcast advertising.
    • Mobile Podcast Recording Guide

      The ultimate guide to recording a podcast on your phone.
    • How to Use Group Recording

      Steps to set up and use group recording in the Podbean app.
  • All Arts Business Comedy Education
  • Fiction Government Health & Fitness History Kids & Family
  • Leisure Music News Religion & Spirituality Science
  • Society & Culture Sports Technology True Crime TV & Film
  • Live
  • How to Start a Podcast
  • How to Start a Live Podcast
  • How to Monetize a podcast
  • How to Promote Your Podcast
  • How to Use Group Recording
  • Log in
  • Start your podcast for free
  • Podcasting
    • Podcast Features
      • Podcast Hosting

        Start your podcast with all the features you need.
      • Podbean AI Podbean AI

        AI-Enhanced Audio Quality and Content Generation.
      • Blog to Podcast

        Repurpose your blog into an engaging podcast.
      • Video to Podcast

        Convert YouTube playlists to podcasts, videos to audios.
    • Monetization
      • Ads Marketplace

        Join Ads Marketplace to earn through podcast sponsorships.
      • PodAds

        Manage your ads with dynamic ad insertion capability.
      • Apple Podcasts Subscriptions Integration

        Monetize with Apple Podcasts Subscriptions via Podbean.
      • Live Streaming

        Earn rewards and recurring income from Fan Club membership.
    • Podbean App
      • Podcast Studio

        Easy-to-use audio recorder app.
      • Podcast App

        The best podcast player & podcast app.
  • Advertisers
  • Enterprise
  • Pricing
  • Resources
    • Help and Support
      • Help Center

        Get the answers and support you need.
      • Podbean Academy

        Resources and guides to launch, grow, and monetize podcast.
      • Podbean Blog

        Stay updated with the latest podcasting tips and trends.
      • What’s New

        Check out our newest and recently released features!
      • Podcasting Smarter

        Podcast interviews, best practices, and helpful tips.
    • Popular Topics
      • How to Start a Podcast

        The step-by-step guide to start your own podcast.
      • How to Start a Live Podcast

        Create the best live podcast and engage your audience.
      • How to Monetize a Podcast

        Tips on making the decision to monetize your podcast.
      • How to Promote Your Podcast

        The best ways to get more eyes and ears on your podcast.

      • Podcast Advertising 101

        Everything you need to know about podcast advertising.
      • Mobile Podcast Recording Guide

        The ultimate guide to recording a podcast on your phone.
      • How to Use Group Recording

        Steps to set up and use group recording in the Podbean app.
  • Discover
    • Log in
    Sign up free
Behind The Advisor

Behind The Advisor

Business:Entrepreneurship

Ep #236: Audits: The Do's and Don'ts According to a Former Regulator: An Interview with Kingston Hollman

Ep #236: Audits: The Do's and Don'ts According to a Former Regulator: An Interview with Kingston Hollman

2020-01-01
Download Right click and do "save link as"

Kingston Hollman is one of XYPN’s compliance consultants and a former regulator with the state of Minnesota. Having been a financial advisor and firm owner himself in the past, Kingston now provides firm owners with expert advice on how to embrace a culture of compliance and what to expect when it comes to audits.

You can find show notes and more information by clicking here: http://www.xyplanningnetwork.com/236  

 

view more

More Episodes

Ep #313: Loving Your Business 20 Years In: An Interview with Cathy Curtis
2021-07-14
Ep #312: Serving Retirees & Pre-Retirees Your Own Way: A Conversation with Vinicius Hiratuka
2021-06-30
Ep #311: Growing As an Entrepreneur From the Startup Phase to the Enterprise Phase: A Check-in with Alan Moore
2021-06-16
Ep #310: Two Million Dollars of Revenue in Four Years: A Conversation with Shane Mason and AJ Ayers
2021-06-02
Ep #309: The Power of a Mastermind Group: A Conversation with Becky Meats, Bonnie Arnold, Molly Laughter, and Adrienne Ross
2021-05-26
Ep #308: Enhancing the Value of XYPN Membership with Executive Experience: With Vince Hockett
2021-05-19
Ep #307: Investment Storytelling: An Interview with Kelly Klingaman
2021-05-12
Ep #306: How DEI Makes Firms Thrive: An Interview with Cindu Thomas-George
2021-05-05
Ep #305: Embracing an Expanding Compliance Program
2021-04-28
Ep #304: Supporting Clients Through Grief and Transition: A Conversation with Julie Quick and Chris Dale
2021-04-21
Ep #303: Adding a Partner Into an Established Firm: A Conversation With Ryan Mohr and Eric Thomas
2021-04-14
Ep #302: The Real Value of an Intern: A Conversation with Pearl Michalson
2021-04-07
Ep #301: Hiring A Spouse - A Conversation with Ashlee deSteiger and David Rae
2021-03-31
Ep #300: From Unfulfilled Employees to Independent RIA Owners: A Conversation with Tremaine Wills and Charles Ho
2021-03-24
Ep #299: Considerations for Special Needs Planning: A Discussion With Alexandra Baig, Neil Mahoney, Todd Sensing, and Matthew Ricks
2021-03-17
Ep #298: Strategic and Authentic Podcasting: A Conversation with Aaron Agte, Michael Reynolds, and Trishul Patel
2021-03-10
Ep #297: Embracing Career Change: A Conversation with Cathy Morgan and James Hindes
2021-03-03
Ep #296: Transitioning an Established Practice to Fee-Only: A Conversation with John Mason and Tommy Blackburn
2021-02-24
Ep #295: Storytelling to Build Your Brand: A Conversation with Kelly Moorman
2021-02-17
Ep #294: Building an Authentic Firm That's a Magnet for Clients: A Discussion with Anna N'Jie Konte
2021-02-10
  • ←
  • 1
  • 2
  • 3
  • 4
  • 5
  • 6
  • 7
  • 8
  • 9
  • 10
  • →
012345678910111213141516171819

Get this podcast on your
phone, FREE

Download Podbean app on App Store Download Podbean app on Google Play

Create your
podcast in
minutes

  • Full-featured podcast site
  • Unlimited storage and bandwidth
  • Comprehensive podcast stats
  • Distribute to Apple Podcasts, Spotify, and more
  • Make money with your podcast
Get started

It is Free

  • Podcast Services

    • Podcast Features
    • Pricing
    • Enterprise Solution
    • Private Podcast
    • The Podcast App
    • Live Stream
    • Audio Recorder
    • Remote Recording
    • Podbean AI
  •  
    • Create a Podcast
    • Video Podcast
    • Start Podcasting
    • Start Radio Talk Show
    • Create a Podcast for Spotify
    • Education Podcast
    • Church Podcast
    • Get Sermons Online
    • Free Audiobooks

  • MONETIZATION & MORE

    • Podcast Advertising
    • Dynamic Ads Insertion
    • Apple Podcasts Subscriptions
    • AI Podcast Creator
    • Blog to Podcast
    • YouTube to Podcast
    • Submit Your Podcast
    • Switch to Podbean
    • Podbean Plugins

  • KNOWLEDGE BASE

    • How to Start a Podcast
    • How to Start a Live Podcast
    • How to Monetize a Podcast
    • How to Promote Your Podcast
    • Mobile Podcast Recording Guide
    • How to Use Group Recording
    • Podcast Advertising 101

  • Support

    • Support Center
    • What’s New
    • Free Webinars
    • Podcast Events
    • Podbean Academy
    • Podbean Amplified Podcast
    • Badges
    • Resources
    • Developers

  • Podbean

    • About Us
    • Podbean Blog
    • Careers
    • Press and Media
    • Green Initiative
    • Affiliate Program
    • Contact Us
  • Privacy Policy
  • Cookie Policy
  • Terms of Use
  • Consent Preferences
  • Copyright © 2015-2026 Podbean.com