Sara Grillo

SEPTEMBER 12, 2022

Despite the incidences mentioned in #5, the CFP Board has spent millions in advertising telling consumers they should always trust a CFP® professional and if they don’t have the CFP designation you just don’t know about their integrity. Verify a CFP® Professional, Financial Advisor U4’s. JR feels this is harmful to consumers. #7

CFP 80

CFP Financial Planner Ethics Financial Planning 80

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

The Big Picture

MAY 16, 2023

So I was very heavy in financial services stock, which was a great lead gen engine. Um, case anybody that says anything, non-compliant, compliance tracks that also the watch list is just sort of fun. Whereas eTrade they were spending billions on advertising. RITHOLTZ: So great advertising, but expensive advertising.

Media 281

Media Investing Investments Valuation 281