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. Regulators’ worries are justified.

Financial Planning 52

Financial Planning Planning Financial Planner CFP 52

Inside Information

OCTOBER 30, 2021

He thinks that the distinction has been deliberately (and very effectively) blurred by the brokerage industry, which advertises itself as helping facilitate peoples’ dreams with financial planning and investment advice, whose brokers call themselves, on their business cards, advisors, vice presidents of investments or wealth managers. “If

CFP 40

CFP Commission Education Investing 40

Sara Grillo

APRIL 11, 2022

Please conduct your own diligence on any wealth manager you are considering hiring. He also has considerably less of a compliance, operational, and administrative burden because he is not taking custody or discretion of his clients’ assets. For advise on such matters, contact a legal or compliance advisor.

Financial Advisor 52

Financial Advisor Portfolio Clients Management 52

Sara Grillo

MAY 23, 2022

What is an advice-only financial planner? Advice-only financial planning is fee-only comprehensive financial planning without the expectation or even the option to manage any client investments. So please subscribe! I am an irreverent and fun marketing consultant for financial advisors. What the heck is going on?

Financial Planner 52

Financial Planner CFP Financial Planning Education 52

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. Now, full disclosure, Ritholtz Wealth Management has been around a decade. And I would constantly hear them frustrated by the compliance department. We retained your firm.

Compliance 154

Compliance Wealth Management Clients Management 154

Sara Grillo

SEPTEMBER 26, 2022

The debaters are: Robert Wright, CFP®, a financial consultant with Advocacy Wealth Management. 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. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59