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. “If

CFP 40

CFP Commission Investing Investments 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. Now, full disclosure, Ritholtz Wealth Management has been around a decade. And I would constantly hear them frustrated by the compliance department. We retained your firm.

Compliance 152

Compliance Clients Wealth Management Management 152

Sara Grillo

SEPTEMBER 26, 2022

The debaters are: Robert Wright, CFP®, a financial consultant with Advocacy Wealth Management. 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