Commission Financial Market Investment Planning Sales 
Sara Grillo
OCTOBER 31, 2022
Any financial advisor who is registered as an advisor with a regulator has to fill out this form for initial approval by either a state or a Federal (the United States Securities and Exchange Commission) regulator. What if you can’t find the financial advisor’s Form ADV? Investment Adviser Firm Summary.
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. Who cares?
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Sara Grillo
AUGUST 14, 2023
The standard, however, is often used haphazardly, invoked as a sales tool by dual-registered advisors who want to virtue signal, only to be abandoned in a legal context by those same advisors who backpedal into being “just a salesperson.” The word “fiduciary” is not a marketing term, not just something you throw out there to virtue signal.
Sara Grillo
APRIL 10, 2023
Early on in his entrepreneurial journey, Scott saw firsthand the inherent flaws and conflicts of interest in the traditional sales and product driven approach, as several family members had lost a significant portion of their hard-earned life savings to high-cost, commission-based investment products and inappropriate advice.
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? Salaske and Grillo bristled, but did not rebut back.
Sara Grillo
SEPTEMBER 12, 2022
The CFP Board promotes a faux fiduciary standard that does not require its members to disclose potential conflicts of interest in writing and that does not require them disclose the percentage or amount of commission its members may receive from the sale of insurance products with opaque commissions.
Sara Grillo
SEPTEMBER 26, 2022
I think that one of the challenging things is that sales kinda has a dirty dirty name to it, right? Oh, well, you’re not really a financial planner, you’re a financial salesperson. Now, granted, I don’t think that that’s true.
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