Abnormal Returns

FEBRUARY 26, 2023

wsj.com) Sketchy products keep showing up for sale on Amazon ($AMZN). Sentencing Commission show judges rejected more than 80% of compassionate release requests filed from October 2019 through September 2022. econbrowser.com) The economic schedule for the coming week. mailchi.mp) On the ethics of holding down two full-time jobs.

Ethics 202

Ethics License Financial Advising Startup 202

International College of Financial Planning

JULY 10, 2023

Investment advisors analyze market trends, assess the client’s economic situation, and develop personalized investment strategies tailored to their goals and risk tolerance. Successful investment advisors also have the potential to make substantial commissions and bonuses based on their client’s investment performance.

Financial Advisor 52

Financial Advisor Certified Financial Planner Financial Planner Investing 52

Inside Information

JULY 31, 2022

Currently there are no minimum standards for competency or ethics for those professing to be financial planners. Even financial planners were leery of letting another FINRA loose on the American economic landscape. I’m meeting all the highest ethical standards. I’m delivering high quality plans to my clients.

Financial Planner 45

Financial Planner Financial Planning Ethics CFP 45

International College of Financial Planning

SEPTEMBER 3, 2021

They may charge for their services either on a commission basis or hourly rates. However, our advice is to trust financial planners who either take a flat annual fee or charge per hour for managing your portfolio instead of charging a commission on every stock they buy or sell. How to Compensate Financial Advisors?

Financial Planner 52

Financial Planner Financial Advisor Certified Financial Planner Commission 52

Sara Grillo

NOVEMBER 14, 2022

Are commissions bad? Salaske says he has a big problem with insurance and annuity sales when large RIA firms will claim not to sell insurance or sell annuities, and then in their 50 page ADV you see that their independent representatives will sell insurance in their individual capacities (whatever that means!). Are commissions bad?

Insurance 59

Insurance Financial Advisor Retirement License 59

Sara Grillo

SEPTEMBER 12, 2022

Get ready for a ride as we examine it from all angles: regulatory, ethically, intellectually, etc. If we are comparing them to the Utopian idea of what a fraternity of ethics and competence testing should be, then we should find a way to implement it because daydreaming about what it ought to be is less useful.

CFP 80

CFP Financial Planner Ethics Financial Planning 80

Sara Grillo

SEPTEMBER 26, 2022

Wright: Yes, So yes, is the quick answer, the more convoluted answer would be that we should control internally… We’re a fraternity of ethics and competency testing that should be different from the SEC. Salaske: Right, now.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59