Commission Financial Advice Investment Advisor Sales 
International College of Financial Planning
JULY 10, 2023
How Investment Advisors Play a Significant Role in Managing Finances? The field of investment advisory presents a world of opportunities for individuals passionate about finance and investments. Their primary objective is to help clients make informed investment decisions, manage risks, and achieve financial objectives.
Sara Grillo
DECEMBER 12, 2022
Watch as all h&#@ breaks loose discussing the question of broker vs. financial advisor, commissions, fees, value, and more! The advisors made the point that the cost of insurance can’t be separated from the “cost of service” or the commission the agent makes. The commission is the commission.
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Inside Information
SEPTEMBER 28, 2021
The petition notes that the SEC, in response to litigation from the Financial Planning Association back in 2005, had proposed to go further, and require anyone holding themselves out as a “financial planner” or providing “financial planning services,” or delivering a financial plan to their customers, be required to register as an RIA. .
Sara Grillo
OCTOBER 21, 2022
RIA firm – a Registered Investment Advisor firm registered with either the SEC or state regulators. An RIA firm’s financial advisors must follow the fiduciary standard which is believed to be the highest standard of care in the industry. As a junior financial advisor, you’d be more involved with clients.
Inside Information
OCTOBER 30, 2021
The argument with the regulators is that the more they require all advisors (including, of course, wirehouse brokers who call themselves ‘advisors’) to behave as fiduciaries, the more likely investors will be to receive advice in their interests, quality investment counsel, low portfolio expenses and fewer conflicts getting in the way.
Sara Grillo
NOVEMBER 14, 2022
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? Are commissions bad? He does not think it will be in his lifetime. #2
Sara Grillo
SEPTEMBER 26, 2022
I do believe it should be different regulated differently from portfolio management, which is the typical definition of the registered investment advisor, but that it shouldn’t be the CFP Board that is controlling the regulatory environment for financial planners. Salaske: What is an investment advisor?
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