Commission Compliance Education Ethics 
Walkner Condon Financial Advisors
APRIL 17, 2023
In contrast, a commission-based financial advisor receives commissions or other forms of compensation from financial product providers for recommending and selling their products. This can make it difficult for investors to fully understand the potential conflicts of interest that may exist when working with a commission-based advisor.
Walkner Condon Financial Advisors
APRIL 21, 2023
In contrast, a commission-based financial advisor receives commissions or other forms of compensation from financial product providers for recommending and selling their products. This can make it difficult for investors to fully understand the potential conflicts of interest that may exist when working with a commission-based advisor.
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Sara Grillo
JANUARY 9, 2023
The goal of the Transparent Advisor Movement is to create the country’s best financial advisors – the most ethical, effective, and successful financial advisors that the industry has ever seen in its history. Specific examples: Educating financial advisors of all business models (AUM, fee only, commission, etc.) Here are tips.
Sara Grillo
JUNE 2, 2022
What about ethics? I have several issues with the methodology, namely: The advisor must have an “acceptable compliance record.” There are plenty of financial advisors with a long tenure in the business and spotless compliance records. Number of employees per client? What about advisor/client ratio? ” Huh?
Tucker Advisors
AUGUST 9, 2021
When advisors are not fiduciaries, they follow what is called the “suitability” requirement, which is basically an ethical call to follow the same prioritization of interests. What are the key points advisors need to beware of in order to be in compliance with the present definition/regulation regarding IRA rollovers? The client?
Sara Grillo
SEPTEMBER 12, 2022
Get ready for a ride as we examine it from all angles: regulatory, ethically, intellectually, etc. He is very much an advocate for the marks and the education that comes with it. According to Wright, it’s more than having to pass a test – there are CFP® certification requirements pertaining to education, quizzes, modules, etc.
Sara Grillo
JUNE 12, 2023
BARRY FLAGG OR STEVEN ZEIGER: So the regulation is clearly written towards the insurance agent with the insurance broker, but every fiduciary ethically should demand that the financial services person involved in the insurance, that they follow the tenants of this regulation. So ethically, I think it applies everywhere.
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