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NAIFA Member Spotlight: Tom Schmidt: A Journey of Resilience, Relationships, and Advocacy in Financial Services

NAIFA Advisor Today

Despite the initial shock and challenges of working on straight commission, Tom leaned into his natural work ethic, his extensive network, and his determination to succeed. However, he quickly discovered that the role centered on life insurance, something he hadnt been aware of beforehand.

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Key Trends and Concerns for Investors in 2025

WiserAdvisor

ESG companies focus on a range of things, such as reducing carbon emissions, cutting plastic waste, treating employees fairly, ensuring gender equality, and prioritizing ethical governance. That kind of pressure ensures companies prioritize ESG governance and ethical practices. When it comes to ESG, it is not just about investors.

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2025 Wealth Preservation Strategies

WiserAdvisor

Securities and Exchange Commission (SEC), the thresholds may vary slightly — say a net worth of $1.5 However, it is important to use them ethically. High-net-worth individuals are typically categorized as those with over $1 million in liquid assets. According to the U.S.

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Top 10 Tips for Financial Advisor Marketing Campaigns

Midstream Marketing

Understanding FINRA and SEC Guidelines For financial advisors and investment advisers, it is important to know and follow the rules from groups like the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). It’s vital to follow the marketing rule for ethical practice.

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Always Invert

The Better Letter

’” By the next morning, the decision had already been made to appoint an external review commission to investigate what had happened and what had gone wrong. On February 3, President Reagan announced that a 13-member commission chaired by former Secretary of State William P. That didn’t happen.

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CFP Board Begins Publishing Detailed Disciplinary Details

Wealth Management

The Board’s Disciplinary and Ethics Commission previously released anonymized iterations of its public sanctions, but starting today the Board will make the actual orders available to the public.

CFP 284
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The Latest In Financial #AdvisorTech (October 2022)

Nerd's Eye View

While the growth of DPL’s marketplace may itself usher in a greater level of annuity competitiveness, as companies are forced to compete for RIA attention not by offering the biggest commissions but by offering the best features and benefits to get through the RIA-as-gatekeeper.