Nerd's Eye View

MAY 5, 2023

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week’s edition kicks off with the news that the House Financial Services Committee unanimously passed a bill that would direct the SEC to conduct a study and carry out a rulemaking on the definition of a "small entity" to reduce the compliance burden on small businesses, (..)

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Financial Planner Financial Services Electronics Compliance 206

Nerd's Eye View

FEBRUARY 17, 2023

Enjoy the current installment of “Weekend Reading For Financial Planners” - this week’s edition kicks off with the news that the SEC is proposing to expand the adviser custody rule beyond securities and funds to cover all assets in a client’s portfolio, including private securities, real estate, derivatives, and cryptoassets.

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Financial Planner Fiduciary Duty Retirement Planning Compliance 203

Nerd's Eye View

SEPTEMBER 23, 2022

While the new rule allows financial advisors to proactively use testimonials (from clients), endorsements (from non-clients), and highlight their own ratings on various third-party websites, the SEC’s warning suggests that advisory firms will want to take care to abide by the compliance requirements linked to the new rule.

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Financial Planner Compensation Planning Compliance Insurance 212

Nerd's Eye View

NOVEMBER 11, 2022

Enjoy the current installment of “Weekend Reading For Financial Planners” - this week’s edition kicks off with the news that as enforcement of the SEC’s new marketing rule began on November 4, advisory firms are taking a variety of approaches. Also in industry news this week: Why “SECURE 2.0”

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Financial Planner Retirement Planning Compliance Retirement 186

Nerd's Eye View

JANUARY 13, 2023

Enjoy the current installment of “Weekend Reading For Financial Planners” - this week’s edition kicks off with the news that the Federal Trade Commission has proposed a nationwide ban on noncompete clauses in employee contracts, aiming to give employees more freedom to change jobs within the same industry.

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Financial Planner Retirement Planning Compliance Retirement 177

Sara Grillo

MARCH 1, 2024

In this blog we discuss how to get started in financial planner marketing without spending a gazillion dollars! I am a CFA® charterholder and financial advisor marketing consultant. I am an irreverent and fun marketing consultant for financial advisors. P.S. Here are some financial planner marketing blogs for you!

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Abnormal Returns

OCTOBER 16, 2023

riabiz.com) Compliance Compliance is one of the biggest concerns of advisers. thinkadvisor.com) AI tools are coming for the compliance function. investmentnews.com) Advisers How a financial planner is like a general practitioner. flowfp.com) Tony Isola, "Withdrawal rates are more than numbers on a spreadsheet."

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Compliance Financial Planner Financial Advice Investment Advisor 230

BlueMind

JULY 15, 2022

Category: Compliance. The Significance Of Financial Compliance Financial compliance requires all actions, procedures, guidelines, and business culture to abide by the rules and regulations set by the regulatory authorities of the financial market. Related: Compliance and Automation – An Ideal Unison!

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Compliance Financial Advisor Certified Financial Planner Clients 98

NAIFA Advisor Today

APRIL 25, 2024

Richard Dobson is a Certified Financial Planner (CFP) who strives to simplify communication between clients and financial advisors. He is also a NAIFA member and has previously served as a former FINRA Broker Dealer Chief Compliance Officer (CCO). Richard is the author of Make Simplicity Your Superpower!

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Certified Financial Planner Financial Planner Compliance CFP 52

Abnormal Returns

DECEMBER 26, 2022

Podcasts Michael Kitces talks setting boundaries with Emily Rassam who is the Senior Financial Planner for Archer Investment Management. wealthmanagement.com) Dynasty Financial Partners is still targeting an IPO. investmentnews.com) Practice management Why firms need to make compliance an ally, not an obstacle.

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Nerd's Eye View

JULY 18, 2023

We also talk about how Nancy explains the value of her divorce planning work to prospective clients and what she actually does to earn her fees on a divorce case, the steps that Nancy took to begin to scale her divorce practice as she built her reputation and the volume of clients grew, and how Nancy ultimately decided that the responsibilities that (..)

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Financial Planning Planning Financial Advisor Financial Planner 158

XY Planning Network

DECEMBER 18, 2023

Over the past year, we've published articles written with one purpose in mind: to help independent financial advisors be successful. From RIA compliance best practices to using behavioral marketing tactics to get more clients, this list is loaded with one helpful resource after another to send you into 2024.

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Financial Advisor Compliance Clients Marketing 98

Walkner Condon Financial Advisors

APRIL 21, 2023

What is a Certified Financial Planner (CFP) ? A CFP (Certified Financial Planner) is a professional designation granted by the Certified Financial Planner Board of Standards (CFP Board). It is one of the most recognized and respected financial planning certifications in the industry.

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Sara Grillo

OCTOBER 21, 2022

I am an irreverent and fun marketing consultant for financial advisors. Before we get started, I wanted to give hanks to Jonathan Grannick of Wonder Wealth , as well as other financial planners for their input. What is a financial paraplanner? How do you get a job as a financial paraplanner?

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Sara Grillo

MARCH 22, 2024

Please note: This list of flat fee and advice-only advisors by state is not an endorsement of any particular individual, their firm, or their services; please do your own research when selecting a financial advisor. Arkansas Jacob George [link] Flat-fee financial planning for Christian families wanting to make an eternal impact!

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Financial Planning Fee Only Financial Planner Financial Advisor 52

Walkner Condon Financial Advisors

APRIL 17, 2023

What is a Certified Financial Planner (CFP)? A CFP (Certified Financial Planner) is a professional designation granted by the Certified Financial Planner Board of Standards (CFP Board). It is one of the most recognized and respected financial planning certifications in the industry.

Fee Only 52

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Sara Grillo

MAY 23, 2022

What’s up with these “advice-only financial planners?” I am a CFA® charterholder and financial advisor marketing consultant. I am an irreverent and fun marketing consultant for financial advisors. What is an advice-only financial planner? The benefits of advice-only financial planners.

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Financial Planner CFP Financial Planning Education 52

FMG

OCTOBER 2, 2023

They may be wondering: “What is a fiduciary financial planner?” What to look for in a financial planner?” What does a financial planner do?” Remember, as a financial advisor, your video marketing will also need to be approved by compliance. And don’t forget about your prospects, too!

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Financial Planner Financial Advisor Engineering Clients 52

Carson Wealth

JULY 12, 2022

In this blog, we’ll break down industry jargon, share what various credentials indicate and explain why the financial services industry is so regulated. . Registration Standards for Financial Advisors. The first step in the competency stairway is regulatory compliance. . Three broad financial planning designations include:

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Financial Advising Financial Planning Ethics Financial Services 98

International College of Financial Planning

MARCH 31, 2023

Job opportunities in wealth management include: Wealth Manager Investment Analyst Financial Planner Relationship Manager Salaries in the wealth management industry depend on various factors such as job position, location, and years of experience.

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Wealth Management Management Risk Management Ethics 52

Good Financial Cents

DECEMBER 14, 2022

Employment numbers for Financial Managers are expected to rise by 17% over the next decade, faster than the average for all occupations. Chief Compliance Officer. A chief compliance officer ensures financial institutions adhere to all applicable laws and regulations. Financial Examiner. Insurance Advisor.

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Compliance Budgeting Accounting Insurance 87

Sara Grillo

JULY 8, 2022

Others that require a more detailed response will either get forwarded to a teammate (financial planner or portfolio manager) who can research the answer, or scheduled to my calendar later in the day when I can focus on a response or call the client directly. Work on outstanding compliance tasks: 1 hour.

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Financial Advisor Financial Planner Clients Compliance 59

Sara Grillo

JANUARY 9, 2023

At the same time, Division Examination Staff (“Staff”) has found that many ongoing financial planners are unprepared to respond to Staff inquiries about fees and work performed made during regulatory examinations. there is an understandable lack of clarity as to what the answer to that question is likely to be from a financial planner.

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Financial Planning Planning Financial Planner CFP 52

Sara Grillo

DECEMBER 22, 2023

Six Core Fiduciary Duties for Financial Advisors. What to look for — and ignore — when you’re hiring a financial planner. 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. Institute for the Fiduciary Standard.

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Financial Advisor Fiduciary Duty Compliance Financial Advice 52

Nerd's Eye View

FEBRUARY 14, 2024

Such a "Salesperson's Exemption", which would allow insurance and brokerage salespeople to avoid the DoL's fiduciary obligation in the Retirement Security Rule, would apply to salespersons who (1) avoided holding themselves out as financial advisors or financial planners, (2) avoided marketing that they offer any financial advice or financial planning (..)

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Retirement Financial Advisor Insurance Sales 121

International College of Financial Planning

JANUARY 31, 2024

These include: Financial Analysis and Reporting: Essential for roles such as financial analysts and accountants, these skills involve interpreting financial data and generating insightful reports.

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International College of Financial Planning

MARCH 31, 2023

New regulations such as the EU’s General Data Protection Regulation (GDPR) and the US Dodd-Frank Act are putting pressure on financial institutions to comply with stricter data privacy and security requirements. The increasing focus on compliance has led to higher costs and increased complexity for financial institutions.

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Carson Wealth

NOVEMBER 3, 2022

However, note that tax laws and income brackets can change frequently so double-checking you’re in compliance is always wise. Just remember to talk with your financial planner and accountant to ensure you’re benefitting to the full extent possible.

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Park Place Financial

JULY 6, 2022

The law also includes compliance standards for FSRPs. Seek Retirement Planning Services from Park Place Financial. If you are unsure what these laws mean for your retirement plans, turn to Park Place Financial for trustworthy solutions.

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Retirement Retirement Planning Certified Financial Planner Ethics 52

Fortune Financial

SEPTEMBER 25, 2023

Key Credentials Financial certifications, also called financial designations, are credentials that investment and financial industry professionals use, according to Investopedia. They are well-versed in various aspects of financial planning, including investments, retirement planning, estate planning and tax management.

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FMG

FEBRUARY 3, 2023

However, they offer plenty of specific categories for the financial services industry. You can choose from options such as financial planner, financial consultant, and investment service to describe your work and multiple categories are allowed.

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Financial Services Media Accounting Financial Advisor 52

Fortune Financial

SEPTEMBER 25, 2023

Key Credentials Financial certifications, also called financial designations, are credentials that investment and financial industry professionals use, according to Investopedia. They are well-versed in various aspects of financial planning, including investments, retirement planning, estate planning and tax management.

Wealth Management 52

Wealth Management Management Risk Tolerance Retirement Planning 52

Sara Grillo

DECEMBER 12, 2022

A student of the industry, he also has the following designations: the Fellow, Life Management Institute (FLMI), the Chartered Life Underwriter (CLU), the Chartered Financial Consultant (ChFC), the Certified Financial Planner (CFP), and the Chartered Financial Analyst (CFA). Matt Pruitt, CFP®, CFA®. Doug Twiddy.

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Financial Advisor Commission Clients Insurance 52

WiserAdvisor

MARCH 13, 2024

This can mitigate the impact of taxes on your Social Security benefits and maximize your overall financial well-being in retirement. In addition to prioritizing tax optimization as part of your retirement planning, it is also crucial to have a financial planner who specializes in tax planning review your tax return each year.

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Retirement Planning Retirement Planning Estate Planning 105

Sara Grillo

APRIL 11, 2022

And that’s why I’m writing this blog; because I feel that financial advice rendered by the hour is a great thing for the American public (for the reasons we’re going to discuss below). But the idea of becoming an hourly financial planner is met with such resistance you would think you told people to saw off their left arm.

Financial Advisor 52

Financial Advisor Portfolio Clients Management 52

XY Planning Network

DECEMBER 19, 2022

Over the past year, we've published articles written with one purpose in mind: to help independent financial advisors be successful. 5 MIN READ. As 2022 comes to a close, we rounded up our top 10 most-viewed blogs published this year.

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Financial Advisor Fee Only Financial Planner Financial Planning 73

Inside Information

OCTOBER 30, 2021

B y now, I’m sure most of you are familiar with the Committee for the Fiduciary Standard—but if not, well, it’s a group of prominent advisors who advocate that anybody who holds out as a financial planner or advisor be held to a strict fiduciary standard. I participate in their discussions, though I’m not formally a member.

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