Sara Grillo

OCTOBER 21, 2022

Fee-only advisor – This is an advisor that does not charge commissions and hence is believed to be more aligned with the client’s best interests. What is a financial paraplanner? The job responsibilities may be back-office or client-facing, depending on the scope of the paraplanner’s work.

Insurance 98

Insurance Financial Planner Fee Only Financial Advisor 98

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 157

Compliance Clients Wealth Management Management 157

Sara Grillo

SEPTEMBER 26, 2022

JR: The advisors were as much the victims as their clients were, and the brokerage firm would say they were all inappropriate behavior, so they’re all disclosures. Option rate securities were… 0:14:54.9 So it’s very difficult to do that. It is kind of a case by case thing. I still have to argue in that regard.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

The Big Picture

MAY 16, 2023

Um, case anybody that says anything, non-compliant, compliance tracks that also the watch list is just sort of fun. But, but for other people, we have, we have clients who’ve sold businesses. So to think that… RITHOLTZ: This is not financial advice, you can say it on the air. LINDZON: This is not financial advice.

Media 284

Media Investing Investments Valuation 284