Nerd's Eye View

SEPTEMBER 13, 2024

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that the SEC this week fined 4 RIAs for violations of its marketing rule related to their claims that they offered 'conflict-free' financial advice.

Financial Planner 246

Financial Planner Compliance Fee Only Communication 246

Inside Information

OCTOBER 30, 2021

He thinks that the distinction has been deliberately (and very effectively) blurred by the brokerage industry, which advertises itself as helping facilitate peoples’ dreams with financial planning and investment advice, whose brokers call themselves, on their business cards, advisors, vice presidents of investments or wealth managers.

CFP 40

CFP Commission Investments Investing 40

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 162

Compliance Clients Wealth Management Management 162

The Big Picture

JANUARY 21, 2025

But as a 19-year-old, I was able to not only get involved in writing stories, but also I was involved in the pay stop of the paper for people who remember what pay stop was. I even went on advertising calls with the advertising director. It was so much fun and I learned so much. Where, where did you grow up?

Investments 147

Investments Investing Management Retirement 147

Sara Grillo

MARCH 16, 2024

This was the first and largest in-person gathering of flat fee advisors! pricing, technology, compliance) as they build their transparent advice businesses.” Flat fee advisor “Highly qualified community with a shared vision for fairness, honesty, and transparency for clients. I look forward to more!

Financial Advice 52

Financial Advice Communication Financial Advisor Consulting 52

Nerd's Eye View

OCTOBER 30, 2024

However, despite the large number of potential conflicts that exist for advisory firms, much of the financial media and the general public tend to focus specifically on the conflicts caused by commission-based fee models.

Advertising 246

Advertising Commission Marketing Marketing 246

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