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 Investing Investments 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 157

Compliance Clients Wealth Management Management 157

Sara Grillo

SEPTEMBER 26, 2022

Salaske: Part of it’s regular… you got the SEC, you’ve got state regulators, you get self-governing regulatory bodies like FINRA, and then the CFP Board that wants to basically be a de facto regulator without being a regulator at some point. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59