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 Education Investing 40

Sara Grillo

MARCH 16, 2024

The people who come to Immersion are those who are called to the mission of furthering the ideals of: Honesty Integrity Humility Fairness Logic, and Advocacy in all aspects of financial advice, with a special focus on Advice Only , Flat Fee , and Hourly service models. I look forward to more!

Financial Advice 52

Financial Advice Financial Advisor Consulting Communication 52

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

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 152

Compliance Wealth Management Clients Management 152