Carson Wealth

JULY 12, 2022

I could also be fairly sure that Tammy is a licensed insurance agent and that she has access to sophisticated software tools and may or may not engage in financial planning. Registration Standards for Financial Advisors. The first step in the competency stairway is regulatory compliance. . Life Insurance.

Financial Advising 98

Financial Advising Financial Planning Ethics Financial Services 98

Sara Grillo

DECEMBER 12, 2022

The Transparent Advisor Movement’s mission is to promote ideals of clarity, modesty, integrity, dignity, and client advocacy in all aspects of financial advice, with a special focus on Advice Only, Flat Fee, and Hourly service models. Charles King is a financial advisor licensed in 55 states and territories.

Financial Advisor 52

Financial Advisor Commission Clients Insurance 52

Sara Grillo

AUGUST 25, 2023

Please subscribe to my newsletter to receive updates that raise awareness of consumer financial issues. It will teach you how to avoid shenanigans, crap products, and other scummy practices that are unfortunately common in financial advice. Note: Ryan holds both insurance and FINRA licenses. 56 Capital Partners www.56capitalpartners.com

Financial Advisor 52

Financial Advisor Accounting License Financial Planning 52

Sara Grillo

MARCH 13, 2023

The Transparent Advisor Movement’s mission is to promote ideals of clarity, modesty, integrity, dignity, and client advocacy in all aspects of financial advice, with a special focus on Advice Only, Flat Fee, and Hourly service models. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice.

Financial Advisor 59

Financial Advisor Assets Management License 59

Sara Grillo

JUNE 2, 2022

I am writing it because I’m sick of the BS narratives perpetrated by the financial media, a prime example being the Barron’s Top Advisor List. There are other nonsense financial advisor rankings such as Forbes and CNBC that I rip apart here too. Selling a product does not equal financial advice. ” Huh?

Financial Advisor 69

Financial Advisor Clients Ethics Numbers 69

Sara Grillo

SEPTEMBER 12, 2022

JR agrees, stating that 70% of CFP holders have insurance licenses. #4 JR asserts that anyone who holds themselves out as a financial planner, whether or they wear dual hats, or also are registered reps under FINRA, must follow the fiduciary standard. Nothing in this podcast or blog can be interpreted as legal or compliance advice.

CFP 80

CFP Financial Planner Ethics Financial Planning 80

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 152

Compliance Wealth Management Clients Management 152