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. Fee-only advisors are bound to the fiduciary standard. He knew before graduating fee-only was the path for him, his conscience, and his personality.

Insurance 98

Insurance Financial Planner Fee Only Financial Advisor 98

Inside Information

MAY 30, 2023

Another uncomfortable fact is that these BDs have enormous compliance departments which supervise all of the communications put out by the reps and their offices—which is required by FINRA. The compliance people have to pre-approve their communications. Sales are important, but the BD executives won’t be talking about that.

Communication 40

Communication Sales Compliance Insurance 40

Sara Grillo

SEPTEMBER 26, 2022

Securities and Exchange Commission. Securities and Exchange Commission. 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. 2022, August 1). CFP® Professional Demographics. 2013, March). Zweig, Jason, and Fuller, Andrea.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59