Midstream Marketing

MARCH 21, 2023

This could be a potential goldmine for scheduling consultations with quality prospects ready to talk to an advisor. Can independent registered investment advisors get into the Google Local Pack? I have good news for you. The deck is stacked in favor of local small businesses, like most independent firms.

Financial Advisor 52

Financial Advisor Investment Advisor Consulting Compliance 52

Sara Grillo

SEPTEMBER 26, 2022

The advertisements that they produce that says that anyone can call themselves a CFP. Salaske: What is an investment advisor? Salaske: What is an investment advisor? It’s baffling to me because actually, the only people who can really do… [unintelligible] anyone can say they’re a financial planner?

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

The Big Picture

APRIL 25, 2023

Brian Hamburger has been one of the leading authorities in the world of registered investment advisories, broker-dealers, SEC regulatory compliance. And I would constantly hear them frustrated by the compliance department. HAMBURGER: They were just blaming compliance for everything they couldn’t do. RITHOLTZ: Right.

Compliance 154

Compliance Wealth Management Clients Management 154