Nerd's Eye View

JULY 8, 2024

After several turbulent years in both markets and workforces, 2024 appears to be the 'most normal' year of late, with strong market performance, cooling (or at least no longer rising!?) interest rates, and relatively little new tax legislation (yet).

Ethics 239

Ethics Education Financial Advice Communication 239

Brown Advisory

APRIL 22, 2021

Corporate Engagement Spotlight: Ethical AI Practices ajackson Thu, 04/22/2021 - 11:37 Right now, as you read this, there are computers and network servers all over the world pondering one topic: you. And if and when regulatory frameworks solidify, the compliance requirements may inadvertently lead to rising concentration risk in the industry.

Ethics 52

Ethics Compliance Government Clients 52

Brown Advisory

APRIL 22, 2021

Corporate Engagement Spotlight: Ethical AI Practices. Ethical AI is a term used throughout this discussion, loosely defined as development and delivery of AI products and services that empower employees, produce fair and just outcomes for stakeholders and generate other positive outcomes for society. Thu, 04/22/2021 - 11:37.

Ethics 52

Ethics Compliance Government Clients 52

Advisor Perspectives

MARCH 5, 2025

Understanding copyright compliance rules can help you protect your business and confidently share content that aligns with both legal and ethical standards. Let’s clear up some common myths to keep your financial marketing on the right track.

Ethics 64

Ethics Compliance Financial Market Marketing 64

Sara Grillo

APRIL 21, 2022

So here’s a blog about some things that ethical financial advisors do in the hopes they will serve as an example of right behavior for the rest of the industry to follow. I am a CFA® charterholder and financial advisor marketing consultant. I am an irreverent and fun marketing consultant for financial advisors.

Ethics 52

Ethics Financial Advisor Clients Management 52

International College of Financial Planning

MAY 30, 2023

The finance industry is known for its complexity and competitiveness,where ethics play a pivotal role in determining arofessional’s success and credibility. As a finance student, understanding and practicing ethical behavior is crucial for building a responsible and reputable career. Impact of Ethics on Finance and the Economy.

Ethics 40

Ethics Compliance Education Clients 40

Steve Sanduski

OCTOBER 24, 2023

On today’s show, Andrew Brzezinski and I discuss generative AI, overcoming the barriers to adopting AI, key risks and ethical considerations, and the future outlook for using AI in an advisory practice. Ethical and compliance challenges advisors need to address as they add AI to their workflows.

Ethics 59

Ethics Wealth Management Compliance Financial Advice 59

Brown Advisory

JANUARY 20, 2023

We work closely with our clients and their outside professional advisors to identify when FBAR filings are required and to help facilitate compliance. As such, even the most ethical taxpayers may feel anxiety about these reports, since they may end up being punished despite the best intentions. market could ensnare the unwary investor.

Accounting 100

Accounting Compliance Taxes Banking 100

Midstream Marketing

MAY 12, 2025

Key Highlights Compare the benefits of in-house marketing teams versus virtual marketing agencies to make informed decisions for your financial advisory firm. Discover how overhead costs, scalability, and industry expertise impact your marketing strategy choices. It gives them full control over all marketing initiatives.

Marketing 52

Marketing Marketing Compliance Communication 52

Sara Grillo

OCTOBER 31, 2022

Salaske, Chief Executive Officer and Chief Compliance Officer is Firstmetric’s principal owner and is the sole Member and Manager of Firstmetric, LLC.” Ethics matter. Here are some examples of things Ethical Financial Advisors do. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice.

Financial Advisor 110

Financial Advisor Commission Clients Compliance 110

Midstream Marketing

NOVEMBER 6, 2024

Key Highlights Content marketing helps financial advisors stand out. A good marketing strategy starts with setting clear goals. This helps them make a bigger impact and achieve their marketing goals. Financial advisor marketing through content marketing is a great way to attract potential clients.

Financial Advisor 52

Financial Advisor Marketing Marketing Media 52

International College of Financial Planning

MARCH 31, 2023

In-depth knowledge of financial markets and investment products. Skills Required for a Career in Wealth Management A successful career in wealth management requires a range of skills that include: Strong communication skills to engage with clients and explain complex financial concepts in a simple manner.

Wealth Management 52

Wealth Management Management Risk Management Ethics 52

Sara Grillo

NOVEMBER 8, 2022

You should get this run by compliance before publishing any of this text. You should ask compliance for them. Flat fee advisor marketing resource page. Please view my Code of Ethics here (insert hyperlink). Also, nothing in this podcast or blog can be interpreted as legal or compliance advice. Business owner.

Compliance 52

Compliance Financial Advice Wealth Management Ethics 52

Sara Grillo

DECEMBER 11, 2023

I’m a CFA® charterholder and financial advisor marketing consultant. I am an irreverent and fun marketing consultant for financial advisors. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice. For advise on such matters, contact a legal or compliance advisor.

Financial Advisor 59

Financial Advisor Financial Advice Wealth Management Compliance 59

Sara Grillo

JUNE 24, 2024

Universal life (UL=money market investment) policies from the late 1980s to the early 2000s were illustrated using 8%+ CD-like rates of return forever. Money market rates crashed to zero (0%) in 2022 due to Covid-19. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice.

Insurance 59

Insurance Math Financial Advice Compliance 59

Midstream Marketing

APRIL 14, 2025

Key Highlights This blog post explores digital marketing strategies for financial advisor s beyond Facebook, enabling you to connect with a broader audience. You’ll gain insights into emerging social media platforms, content marketing, email campaigns, and more. They want to reach more people and connect with a bigger audience.

Financial Advisor 52

Financial Advisor Media Clients Financial Guidance 52

Sara Grillo

JUNE 2, 2022

I am a CFA® charterholder and financial advisor marketing consultant. I am an irreverent and fun marketing consultant for financial advisors. What about ethics? I have several issues with the methodology, namely: The advisor must have an “acceptable compliance record.” So please subscribe! ” Huh?

Financial Advisor 69

Financial Advisor Clients Ethics Numbers 69

Brown Advisory

JANUARY 20, 2023

We work closely with our clients and their outside professional advisors to identify when FBAR filings are required and to help facilitate compliance. As such, even the most ethical taxpayers may feel anxiety about these reports, since they may end up being punished despite the best intentions. market could ensnare the unwary investor.

Accounting 52

Accounting Compliance Taxes Banking 52

The Big Picture

DECEMBER 6, 2022

I did in 2013 the largest banking transaction that the market had seen since the financial crisis, it was a $2.4 First of all, I think the amount of investors that participate in the financial markets is much smaller than it is in the U.S. We have 200 employees, and we have a local presence in all of the major markets around the world.

Clients 162

Clients Investments Investing Management 162

Sara Grillo

DECEMBER 22, 2023

The biography can be doctored to contain lies and marketing fluff and is probably written by a 25 year old marketing associate who knows nothing about the business. You need them to be your first line of defense from the IRS and the bear market and the cyberthieves, not just a solid person. Be wary if they run another business.

Financial Advisor 52

Financial Advisor Fiduciary Duty Compliance Financial Advice 52

The Big Picture

FEBRUARY 28, 2023

They have a very thoughtful approach and a very long-term approach to making investments in the private markets. He is the chief executive officer of the Partners Group, which is Europe’s biggest listed private equity and buyout firm, with a market cap of about $25 billion. That’s our biggest market. RITHOLTZ: Wow.

Clients 147

Clients Assets Investments Investing 147

Sara Grillo

AUGUST 25, 2023

I am an irreverent and fun marketing consultant for financial advisors. These are topics I’ve written about in the past: Here are some examples of things Ethical Financial Advisors do Direct indexing sucks Top advisor lists are bullcrap How to read an ADV #3 I can’t say it enough – you have to do your own research.

Financial Advisor 52

Financial Advisor Accounting License Financial Planning 52

Sara Grillo

MARCH 13, 2023

I am a CFA® charterholder and financial advisor marketing consultant. I am an irreverent and fun marketing consultant for financial advisors. Are we in a market regime shift? In 2023, we are coming out of a market regime we have been in since the recession. There is a spread that is the hedging cost of the market maker.

Financial Advisor 59

Financial Advisor Assets License Management 59

Midstream Marketing

APRIL 7, 2025

Content marketing provides a powerful avenue for showcasing expertise and building credibility. Explore SEO best practices, compliance considerations, and tips for targeting specific demographics. This is why content marketing is important. They need to build trust and credibility with potential clients.

Financial Advisor 52

Financial Advisor Clients Media Engineering 52

Brown Advisory

DECEMBER 5, 2023

Companies that perform better with regard to these issues can increase shareholder value by, for example, properly managing risks, anticipating regulatory action or accessing new markets, while at the same time contributing to the sustainable development of the societies in which they operate.

Fiduciary Duty 52

Fiduciary Duty Government Clients Investments 52

Sara Grillo

JUNE 17, 2024

The original investment ROR shown to the consumer was higher than a rational and/or ethical advisor would use. For instance, take Universal Life policies (ULs) invested in money markets in 1980s. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice. Why is there a problem? It’s simple.

Insurance 59

Insurance Financial Advice Math Compliance 59

Tucker Advisors

AUGUST 9, 2021

When advisors are not fiduciaries, they follow what is called the “suitability” requirement, which is basically an ethical call to follow the same prioritization of interests. Download Your Free Referral Marketing Guide. The word “fiduciary” refers to any advisors who must legally prioritize their clients’ interests above of their own.

Financial Advisor 52

Financial Advisor License Clients Insurance 52

Brown Advisory

JUNE 12, 2017

companies, with over 400,000 employees and an equity market capitalization of $420 billion. equity market, even after becoming a large enterprise. Buffett and Munger celebrate good business and investment practices, the potential for human achievement, high ethics and decency to one’s fellow man. annualized compared with 6.9%

Investments 52

Investments Investing Ethics Taxes 52

Brown Advisory

JUNE 12, 2017

companies, with over 400,000 employees and an equity market capitalization of $420 billion. equity market, even after becoming a large enterprise. Buffett and Munger celebrate good business and investment practices, the potential for human achievement, high ethics and decency to one’s fellow man. annualized compared with 6.9%

Investments 52

Investments Investing Ethics Taxes 52

Sara Grillo

JUNE 12, 2023

Fiduciary should be an operating principle, not just a marketing term. Variable making variable life, universal life, anything that goes with the market is based on the performance of an index or the market, the market. So ethically, I think it applies everywhere. Variable products, yes. SARA GRILLO: They should.

Insurance 59

Insurance Clients Financial Advisor Math 59

Sara Grillo

SEPTEMBER 26, 2022

I am a CFA® charterholder and financial advisor marketing consultant. I am an irreverent and fun marketing consultant for financial advisors. For those of you who are new to my blog, my name is Sara. I have a newsletter in which I talk about financial advisor lead generation topics which is best described as “fun and irreverent.” .

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

The Big Picture

DECEMBER 14, 2022

MCCARTHY: I’d back up actually a little bit further in thinking about how did I get there, because I don’t think it was very obvious actually that I would come out of Yale with an ethics, politics and economics degree — RITHOLTZ: Perfect really, right? They react to markets. RITHOLTZ: 16 percent annually, net of fee?

Assets 162

Assets Investments Investing Portfolio 162

Sara Grillo

SEPTEMBER 12, 2022

Get ready for a ride as we examine it from all angles: regulatory, ethically, intellectually, etc. I am a CFA® charterholder and financial advisor marketing consultant. I am an irreverent and fun marketing consultant for financial advisors. Wright retorts back that restrictions don’t necessarily mean higher ethical standards.

CFP 80

CFP Financial Planner Ethics Financial Planning 80

Harness Wealth

JANUARY 17, 2025

From identifying deductions to ensuring compliance, navigating tax complexities can quickly become overwhelming. While certifications are an important factor, membership in professional associations can also signal additional education and ethical standards. How do you assess an accounting firms reputation?

Taxes 52

Taxes Certification Ethics Communication 52

The Big Picture

JANUARY 14, 2025

94 is a terrible market year. We would trade global equities in a bunch of different countries, but market neutral. So you’re not taking a bet on is the market gonna go up or down? Maybe we should do this out from under the compliance regulations of a broker dealer? I don’t remember.

Management 147

Management Investments Investing Assets 147