Sara Grillo

AUGUST 25, 2023

Pure fiduciaries These are advisors who hold no insurance or brokerage licenses and are considered pure fiduciaries. Note: Ryan holds both insurance and FINRA licenses. Services: Investment management, retirement planning, fee-based financial planning Note: Rodolfo holds insurance and FINRA licenses. 56 Capital Partners www.56capitalpartners.com

Financial Advisor 52

Financial Advisor Accounting License Financial Planning 52

Sara Grillo

JUNE 2, 2022

What about straightforwardness of communication? What about ethics? I have several issues with the methodology, namely: The advisor must have an “acceptable compliance record.” There are plenty of financial advisors with a long tenure in the business and spotless compliance records. Impact on the client?

Financial Advisor 69

Financial Advisor Clients Ethics Numbers 69

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