Advertising Compliance Financial Advice License 
Sara Grillo
SEPTEMBER 12, 2022
JR agrees, stating that 70% of CFP holders have insurance licenses. #4 JR asserts that anyone who holds themselves out as a financial planner, whether or they wear dual hats, or also are registered reps under FINRA, must follow the fiduciary standard. Verify a CFP® Professional, Financial Advisor U4’s.
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?
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.
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