Sara Grillo

OCTOBER 21, 2022

RIA firm – a Registered Investment Advisor firm registered with either the SEC or state regulators. An RIA firm’s financial advisors must follow the fiduciary standard which is believed to be the highest standard of care in the industry. Fee-only advisors are bound to the fiduciary standard.

Insurance 98

Insurance Financial Planner Fee Only Financial Advisor 98

Sara Grillo

JANUARY 9, 2023

We’ll cover: What does it mean for financial planning to be transparent? What are the changes in Colorado investment advisor regulations regarding financial planning? What is happening in other states regarding reform of financial planning regulation, and why we expect these changes to become more widespread.

Financial Planning 52

Financial Planning Planning Financial Planner CFP 52

Inside Information

OCTOBER 30, 2021

“If we could actually focus on plain language,” he says, “and say: this is what the business and the practices of broker-dealers are, and this is what the business and practices of investment advisors are , then I believe investors would understand it perfectly well.

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. You turned out to be the first dual economics financial management major at Quinnipiac. You turned out to be the first dual economics financial management major at Quinnipiac.

Compliance 157

Compliance Clients Wealth Management Management 157

Sara Grillo

SEPTEMBER 26, 2022

I do believe it should be different regulated differently from portfolio management, which is the typical definition of the registered investment advisor, but that it shouldn’t be the CFP Board that is controlling the regulatory environment for financial planners. Salaske: What is an investment advisor?

CFP 59

CFP Financial Advisor Financial Planner Ethics 59