This site uses cookies to improve your experience. By viewing our content, you are accepting the use of cookies. To help us insure we adhere to various privacy regulations, please select your country/region of residence. If you do not select a country we will assume you are from the United States. View our privacy policy and terms of use.

Remove 2020 Remove Fee Only Remove Investment Advisor Remove License
article thumbnail

6 Tips to Avoid Financial Fraud and Guard Your Investments

WiserAdvisor

MAY 31, 2022

billion higher than the 2020 estimate. The objective is to thoroughly understand the background of the broker or investment advisor from whom you intend to buy a product or engage in a business. Ideally, you should know if the person offering to sell securities has the authority and the license to do so. In 2021, over 2.8

Investing 52
Investing Investments License Accounting 52
article thumbnail

Should the CFP Board police financial advisor “bad apples”? The debate continues! (Part Two)

Sara Grillo

SEPTEMBER 26, 2022

I do believe it should be different regulated differently from portfolio management, which is the typical definition of the registered investment advisor, but that it shouldn’t be the CFP Board that is controlling the regulatory environment for financial planners. Salaske: What is an investment advisor?

CFP 59
CFP Financial Advisor Financial Planner Ethics 59
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

 

Stay Connected

Join 74,000+ Insiders by signing up for our newsletter

About
Webinars
About
Editions
Webinars
Editions
Topics
Powered by Aggregage | Terms and Conditions | Your California Rights and Privacy Policy
© Aggregage 2024