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. Financial service professionals like Tammy climb a competence stairway to work with clients. Registration Standards for Financial Advisors.
BlueMind
MARCH 10, 2022
Related Read: Reducing Compliance Risk with Technology. E-Signature Improves Efficiency In the financial advisory business, one of the most toiling and monotonous tasks for you is managing paperwork. E-Docs Ensures Compliance and Increased Security Following regulatory compliance is an extremely important matter for you as an advisor.
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Trade Brains
MARCH 11, 2024
Operating Profit Margin (%) 49.67% Net Profit Margin (%) 44.36% Large Cap Stocks With High NPM #2 – Oracle Financial Services Oracle Financial Services Software Limited is a subsidiary of Oracle, a world leader in providing financial technology solutions across retail banking, corporate banking, risk, financial crime, and compliance management.
Sara Grillo
DECEMBER 12, 2022
I hope you’ll at least join my weekly newsletter about financial advisor lead generation. With over thirty years of financial services experience, Mike is an independent financial professional helping individuals and small business owners in providing unbiased insurance and investment strategies. See you in the next one!
Sara Grillo
AUGUST 25, 2023
Pure fiduciaries These are advisors who hold no insurance or brokerage licenses and are considered pure fiduciaries. The fiduciary standard is important because it defined parameters for behaviors impacting the way that financial advisors treat their clients. Note: Ryan holds both insurance and FINRA licenses.
Sara Grillo
JUNE 2, 2022
It’s the typical financial services move of providing enough information to satisfy the minimum standard of transparency, but never going to the full extent that would enable the person to know what is really going on. #2. I have several issues with the methodology, namely: The advisor must have an “acceptable compliance record.”
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.
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