Fortune Financial

SEPTEMBER 25, 2023

When researching wealth management firms, paying attention to their credentials and qualifications is essential, including whether they have a fiduciary duty to uphold. In the United States, this often means being registered with the Securities and Exchange Commission (SEC) or state-level agencies.

Wealth Management 59

Wealth Management Management Risk Tolerance Retirement Planning 59

Fortune Financial

SEPTEMBER 25, 2023

When researching wealth management firms, paying attention to their credentials and qualifications is essential, including whether they have a fiduciary duty to uphold. In the United States, this often means being registered with the Securities and Exchange Commission (SEC) or state-level agencies.

Wealth Management 52

Wealth Management Management Risk Tolerance Retirement Planning 52

Inside Information

SEPTEMBER 28, 2021

Then came Reg BI, in 2019, where the Commission decided that adopting a separate rule restricting these terms was ‘unnecessary.’. 202(a)(11)(c) of the Advisers Act,” the petition says, “the Commission can increase investor protection by (re-)asserting a distinction between product sales and stand-alone investment advice.”.

Financial Planner 40

Financial Planner Financial Planning Commission Sales 40

Sara Grillo

NOVEMBER 14, 2022

Do advisors breach fiduciary duty when they fail to recommend annuities? Should those with only insurance licenses that allow them to sell annuities and/or life insurance be held to the same “fiduciary standard” as Registered Investment Advisers (RIAs) with the SEC or state regulators? Are commissions bad?

Insurance 59

Insurance Retirement License Financial Advisor 59

Sara Grillo

JUNE 12, 2023

It just needs to have more fiduciary orientation to it. And one of the things we spoke about during our webinar a couple of weeks ago, how do you benchmark life insurance?

Insurance 59

Insurance Clients Financial Advisor Math 59

The Big Picture

JUNE 20, 2023

And so I would see how the over-the-counter desk, over-the-counter stock desk would push stocks and encourage brokers to sell them, put a lot of commission in them, to move them because some big seller was coming into the market. How has the distribution of wealth shifted in the United States and what might come out of that going forward?

Insurance 144

Insurance Healthcare Retail Medicine 144