Sara Grillo

JANUARY 9, 2023

Specific examples: Educating financial advisors of all business models (AUM, fee only, commission, etc.) Executing outreach to college students to encourage them to avoid predatory wirehouse and insurance training programs and pursue fee-only paraplanning jobs instead. Mentoring younger advisors.

Financial Planning 52

Financial Planning Planning Financial Planner CFP 52

Inside Information

OCTOBER 30, 2021

He very quickly offers a disclaimer about the effectiveness of disclosure in the past; whenever a regulator proposes actual rules governing reps and brokers, the industry quickly rushes to propose disclosure instead. . To the point where, today, we have brokerage firms disclosing their fees, conflicts, underlying motives etc.

CFP 40

CFP Commission Education Investing 40

The Big Picture

APRIL 25, 2023

Brian Hamburger has been one of the leading authorities in the world of registered investment advisories, broker-dealers, SEC regulatory compliance. And I would constantly hear them frustrated by the compliance department. HAMBURGER: They were just blaming compliance for everything they couldn’t do. RITHOLTZ: Right.

Compliance 152

Compliance Wealth Management Clients Management 152

Sara Grillo

SEPTEMBER 26, 2022

I think that we do need sales people to sell things, I think sales is just the expression of value, the expression and the communication of value. Salaske: Yeah, I don’t agree with the CFP Board becoming any type of regulator whatsoever over financial advisors, financial planners, whatever you wanna call us in the advice space.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59