Trade Brains

JUNE 18, 2025

Please consult your investment advisor before investing. Investments in securities are subject to market risks. Read all the related documents carefully before investing. Read all the related documents carefully before investing. About: Trade Brains Portal is a stock analysis platform.

Banking 59

Banking Investing Investments Certification 59

Trade Brains

JUNE 15, 2025

Please consult your investment advisor before investing. Investments in securities are subject to market risks. Read all the related documents carefully before investing. Read all the related documents carefully before investing. About: Trade Brains Portal is a stock analysis platform.

Banking 59

Banking Investing Certification Investments 59

Trade Brains

JUNE 16, 2025

Please consult your investment advisor before investing. Investments in securities are subject to market risks. Read all the related documents carefully before investing. Read all the related documents carefully before investing. About: Trade Brains Portal is a stock analysis platform.

Retail 59

Retail Sales Portfolio Certification 59

BlueMind

JULY 15, 2022

Bear in mind the standards that a Registered Investment Advisor is held accountable to and a broker-dealer is, are different. Simple SSL certificates often tend to be not enough and stronger security walls demand expense. Conduct interviews and request questionnaires, surveys, records, and documents.

Compliance 98

Compliance Financial Advisor Certified Financial Planner Clients 98

Sara Grillo

OCTOBER 21, 2022

RIA firm – a Registered Investment Advisor firm registered with either the SEC or state regulators. An RIA firm’s financial advisors must follow the fiduciary standard which is believed to be the highest standard of care in the industry. And I wanted to define some key terms first.

Insurance 98

Insurance Financial Planner Fee Only Financial Advisor 98

Walkner Condon Financial Advisors

APRIL 21, 2023

The suitability standard requires brokers and investment advisors to recommend investments that are suitable for the client. It is one of the most recognized and respected financial planning certifications in the industry. CFP s must also meet ongoing continuing education requirements to maintain their certification.

Certified Financial Planner 52

Certified Financial Planner Financial Advisor Fee Only Financial Planner 52

Walkner Condon Financial Advisors

APRIL 17, 2023

The suitability standard requires brokers and investment advisors to recommend investments that are suitable for the client. It is one of the most recognized and respected financial planning certifications in the industry. CFPs must also meet ongoing continuing education requirements to maintain their certification.

Fee Only 52

Fee Only Financial Advisor Certified Financial Planner Commission 52

Harness Wealth

MAY 25, 2023

Besides the fees paid by clients, fee-based advisors may also receive commissions on certain financial products they sell. Assets Under Management (AUM) Investment advisors often charge a fee based on the percentage of assets under management. Fee-based : This structure is a blend of fees and commissions.

Financial Advisor 52

Financial Advisor Certified Financial Planner Ethics CFP 52

WiserAdvisor

MAY 31, 2022

The objective is to thoroughly understand the background of the broker or investment advisor from whom you intend to buy a product or engage in a business. Also, be careful about giving your financial documents like tax certificates, government identity cards, etc. on social media.

Investing 52

Investing Investments License Accounting 52

Trade Brains

JUNE 19, 2025

Please consult your investment advisor before investing. Investments in securities are subject to market risks. Read all the related documents carefully before investing. Read all the related documents carefully before investing. About: Trade Brains Portal is a stock analysis platform.

Banking 71

Banking Government Certification Investing 71

The Big Picture

NOVEMBER 15, 2022

So for a while, I ran Wells Fargo’s 401(k) business because they had acquired that as part of Wells Fargo Nikko Investment Advisors. Now, I had access to all of these internal documents about, like, what was actually going on, not that it was hidden, it was all part of congressional — RITHOLTZ: Right. RITHOLTZ: Sure.

Management 278

Management Assets Portfolio Marketing 278

The Big Picture

JULY 29, 2024

So 00:09:10 [Speaker Changed] I know Orion for many years because from the RIA perspective, from a registered investment advisor perspective, clients want to know how their portfolios are doing, what their performance is, both in absolute terms and relative to benchmarks. Tell us a little bit about what you do with them.

Clients 147

Clients Portfolio Financial Advisor Investing 147

Trade Brains

JUNE 12, 2025

Please consult your investment advisor before investing. Investments in securities are subject to market risks. Read all the related documents carefully before investing. Read all the related documents carefully before investing. About: Trade Brains Portal is a stock analysis platform.

Banking 59

Banking Certification Investing Investments 59