Inside Information

SEPTEMBER 28, 2021

The petition notes that the SEC, in response to litigation from the Financial Planning Association back in 2005, had proposed to go further, and require anyone holding themselves out as a “financial planner” or providing “financial planning services,” or delivering a financial plan to their customers, be required to register as an RIA. .

Financial Planner 40

Financial Planner Financial Planning Commission Sales 40

Inside Information

OCTOBER 30, 2021

The argument with the regulators is that the more they require all advisors (including, of course, wirehouse brokers who call themselves ‘advisors’) to behave as fiduciaries, the more likely investors will be to receive advice in their interests, quality investment counsel, low portfolio expenses and fewer conflicts getting in the way.

CFP 40

CFP Commission Education Investing 40

Sara Grillo

SEPTEMBER 26, 2022

The advertisements that they produce that says that anyone can call themselves a CFP. 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