Tucker Advisors

AUGUST 9, 2021

What are the key points advisors need to beware of in order to be in compliance with the present definition/regulation regarding IRA rollovers? 16, 2021, “provides RIA firms with two options as relates to IRA rollovers: Provide only general investment education regarding rollovers. There is help out there for advisors.

Financial Advisor 52

Financial Advisor License Clients Insurance 52

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

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