XY Planning Network

APRIL 3, 2023

If it often feels as if your to-do list never ends with administrative tasks and compliance management, on top of your regular client meetings, you’re not alone! That’s why we invited XYPN members Raquel Hinman, CFP® , and Michael Reynolds, CFP®, CSRIC®, AIF®, CFT-I™ to share tips and tools they use to increase productivity in their firms.

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Financial Advisor CFP Compliance Management 69

Walkner Condon Financial Advisors

APRIL 21, 2023

What is a Certified Financial Planner (CFP) ? A CFP (Certified Financial Planner) is a professional designation granted by the Certified Financial Planner Board of Standards (CFP Board). CFP s must also meet ongoing continuing education requirements to maintain their certification. Alicia Vande Ven , M.S.,

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Nerd's Eye View

JUNE 6, 2023

We also talk about how Adam almost didn’t land his first job with Equitable because he didn’t do well on his insurance exams and only lucked into the job because a newly-hired manager happened to need one more insurance producer to meet his own numbers, how, in the early stages of his career, Adam wanted to work with business owners and (..)

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Steve Sanduski

NOVEMBER 8, 2023

Dave Mantell , CFP®, CFA is a Managing Partner and wealth advisor at Stabler Wealth Management in Bellevue, WA. Best practices for incorporating pro bono work into your firm’s culture and clearing compliance hurdles. is the CEO of the Foundation for Financial Planning, the U.S.’s

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Financial Planning Planning Wealth Management Medicine 69

Walkner Condon Financial Advisors

APRIL 17, 2023

What is a Certified Financial Planner (CFP)? A CFP (Certified Financial Planner) is a professional designation granted by the Certified Financial Planner Board of Standards (CFP Board). Additionally, CFPs must adhere to ethical and professional standards, including a fiduciary duty to act in the best interests of their clients.

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Nerd's Eye View

DECEMBER 6, 2023

But once a financial coach addresses specific questions from clients around actual securities (e.g., how they should invest their savings or why one particular asset is better suited for their specific circumstances than another), they will need to register as an investment adviser.

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Carson Wealth

JULY 12, 2022

The first step in the competency stairway is regulatory compliance. . The securities industry weaves the Financial Industry Regulatory Authority (FINRA) and state securities commissioners into a regulatory quilt, also requiring stockbrokers and their registered agents to pass registration exams and complete annual compliance training.

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Nerd's Eye View

NOVEMBER 1, 2022

In this episode, we talk in-depth about why Mindy attributes the success of her practice’s structure to the realization that she does not enjoy selling products or investment management (or dealing with compliance that goes with them) and could more efficiently scale with an advice-only approach to one-year financial planning engagements that (..)

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Sara Grillo

OCTOBER 21, 2022

Paraplanners can also hold various designations such as the CFP® certification , ChFC, Enrolled Agent, CPA, etc. One source interviewed for this article feels that a CFP® certificant who is a virtual paraplanner shouldn’t be charging less than $75/hour, which may then scale up with experience.

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Sara Grillo

MARCH 22, 2024

Also, nothing in this podcast or blog can be interpreted as legal or compliance advice. For advice on such matters, contact a legal or compliance advisor. Chris Shoup [link] Georgia David E. There is nothing that guarantees that the information presented in this article or on this website is accurate.

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Gemini BITRIA

DECEMBER 19, 2021

Topics Include: Managing Crypto assets vs. traditional securities Understanding Crypto custody and Compliance The advantages of Crypto SMAs compared with Funds and Trusts Crypto Investing Strategies How to Choose a Crypto SMA.

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Financial Advisor Compliance CFP Portfolio Management 52

Good Financial Cents

DECEMBER 14, 2022

Chief Compliance Officer. A chief compliance officer ensures financial institutions adhere to all applicable laws and regulations. To keep a business running smoothly and help avoid costly non-compliance fees, CCOs monitor company policy and compliance. Average salary: $114,832 per year. Insurance Advisor.

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Zoe Financial

APRIL 4, 2023

Financial Tips to Keep in Mind Published April 5th, 2023 Reading Time: 6 minutes Written by: Kevin Ostergaard, CFP®, CIMA® & Mishkin Santa, J.D., Financial Tips to Keep in Mind Published April 5th, 2023 Reading Time: 6 minutes Written by: Kevin Ostergaard, CFP®, CIMA® & Mishkin Santa, J.D.,

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International College of Financial Planning

JANUARY 31, 2024

Risk Management and Compliance: Vital for risk management and audit professionals, this area focuses on identifying and mitigating risks while ensuring regulatory compliance.

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Certification Education Financial Planning Wealth Management 52

Sara Grillo

JANUARY 9, 2023

We welcome Dwight Dettloff, CPA, CFP, and Knut Rostad to today’s discussion. Dwight Dettloff, CPA, CFP® is the founder of Winding Trail Financial Planning in Colorado. Since March 2022, the CFP Board , Michael Kitces, the Institute for the Fiduciary Standard and the FPA, among others, have provided commentary on the memo.

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Indigo Marketing Agency

DECEMBER 18, 2019

That’s why top advisors outsource their marketing to proven professionals that understand our industry and compliance. . It offers comprehensive solutions, including personalized websites, compliance-ready content, email and social media tools, and more. Continuing education articles that are approved for CFP CE credit.

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Zoe Financial

MARCH 8, 2023

Two Raffle Winners Two Money Outcomes Published March 8th, 2023 Reading Time: 5 minutes Written by: Bill Rackley, CFP® Zoe Network Advisor Two Raffle Winners Two Money Outcomes Published March 8th, 2023 Reading Time: 5 minutes Written by: Bill Rackley, CFP® Zoe Network Advisor High-risk, high-reward decisions are complicated.

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Inside Information

OCTOBER 30, 2021

Finally, Rostad has some thoughts about the CFP Board, which has inserted the fiduciary concept into its standards of practice. “I fear,” he says, “that it is being run more like a political party as opposed to a professional organization.”. “A That CFP advisors, all of them, represent a higher standard of behavior in the marketplace.

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Nerd's Eye View

JULY 19, 2023

CFP certificants and CFA charterholders) have CE requirements to retain their credentials, IARs without such credentials haven’t traditionally had any ongoing CE requirements. While holders of certain credentials (e.g.,

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Sara Grillo

JULY 8, 2022

Judson Meinhart, CFP®, BFA . Work on outstanding compliance tasks: 1 hour. Some days have more networking chats, some have more coaching calls, some have more compliance if I have blocks of time. I have a newsletter in which I talk about financial advisor lead generation topics which is best described as “fun and irreverent.”

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Sara Grillo

DECEMBER 12, 2022

A student of the industry, he also has the following designations: the Fellow, Life Management Institute (FLMI), the Chartered Life Underwriter (CLU), the Chartered Financial Consultant (ChFC), the Certified Financial Planner (CFP), and the Chartered Financial Analyst (CFA). Matt Pruitt, CFP®, CFA®. Chris Randall.

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Fortune Financial

SEPTEMBER 25, 2023

Certified Financial Planner (CFP) CFPs are professionals who have completed rigorous education, passed a comprehensive exam and have substantial experience in financial planning. Regulatory Compliance Ensure the wealth management firm is registered and compliant with relevant regulatory authorities.

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Fortune Financial

SEPTEMBER 25, 2023

Certified Financial Planner (CFP) CFPs are professionals who have completed rigorous education, passed a comprehensive exam and have substantial experience in financial planning. Regulatory Compliance Ensure the wealth management firm is registered and compliant with relevant regulatory authorities.

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Sara Grillo

APRIL 21, 2022

Moore , CFP® of Financial Staples is an incredible example of someone who is able to make rational choices for the client regardless of what it means for her. Moore, CFP. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice. For advise on such matters, contact a legal or compliance advisor.

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Ethics Financial Advisor Clients Management 52

Sara Grillo

MAY 23, 2022

This interview with Cody Garrett, CFP, of Measure Twice Financial was mind-blowing. He is a CFP and financial advisor, founder or measure twice Financial. CODY GARRETT, CFP®: A… Absolutely, thanks so much for inviting me, Sarah. Podcast transcript. And today we have code Garrett here. Cody, thank you for being.

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Tucker Advisors

NOVEMBER 11, 2021

If you have qualifications or designations like CFP® or your series 65 , add it to your bio. As a general rule of thumb, we would not suggest sharing content that requires compliance approval. Cashtags are a feature in Twitter allowing users to click on stock symbols and see what the “Twitterverse” is saying about them.

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Sara Grillo

SEPTEMBER 26, 2022

In Part Two of our two part series on the CFP Board, the heated debate continues. We’ll discuss these questions: The CFP Board has specifically stated that it wants the CFP® mark to be a requirement for anyone who practices financial planning. What do you believe the CFP Board’s role should be in the future?

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Sara Grillo

SEPTEMBER 12, 2022

A $100 increase in the CFP annual certification fee spurred an industry outcry, leading many to question whether the designation is worth it or not. There are more than 92,000 CFP® certificants, as per the CFP Board’s 2022 measure. Is it time to say “FU” to your CFP designation? Are they getting a raw deal?

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Sara Grillo

AUGUST 25, 2023

Nate Seiler, CFP Avg account size: $115,000 Services: I offer financial strategies. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice. For advise on such matters, contact a legal or compliance advisor. Note: Stoy holds an insurance license.

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Sara Grillo

APRIL 11, 2022

He also has considerably less of a compliance, operational, and administrative burden because he is not taking custody or discretion of his clients’ assets. Today, I have Rick Perry with me, who is an hourly advisor, a CFP charter holder, and the host of the Bogle heads podcast, which has over 1 million views.

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Indigo Marketing Agency

MAY 5, 2020

I’m a lecturer at UCLA Extension as part of their CFP program in marketing. My dad’s a financial advisor, so that’s how I got into this business. I have a bachelor’s degree in economics, a master’s degree in marketing. So we help position them as the go-to expert in their individual area of expertise.

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The Better Letter

MARCH 16, 2023

” Despite that reality, according to a study undertaken by the CFP Board , 88 percent of consumers and 30 percent of financial advisors think it’s easy to manage money. Thereafter, the big investment banks no longer allowed employees to organize tournament pools and trading on the pools that existed was strictly prohibited.

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