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. Rostad mentions disclosure.

CFP 40

CFP Commission Education Investing 40

The Big Picture

DECEMBER 6, 2022

when I first moved from Spain, and I learned a lot because I spent a lot of time with financial advisors, which, as you know, is a key segment of our client base today. What is the financial advice world like in Europe? So a phenomenal learning experience with both Jefferies and Morgan Stanley. BERRUGA: Yeah.

Clients 152

Clients Investing Investments Management 152

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 152

Compliance Wealth Management Clients Management 152

Sara Grillo

SEPTEMBER 26, 2022

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. Salaske: What is an investment advisor? Salaske: What is an investment advisor?

CFP 59

CFP Financial Advisor Financial Planner Ethics 59