Sara Grillo

AUGUST 25, 2023

Pure fiduciaries These are advisors who hold no insurance or brokerage licenses and are considered pure fiduciaries. Note: Ryan holds both insurance and FINRA licenses. Services: Investment management, retirement planning, fee-based financial planning Note: Rodolfo holds insurance and FINRA licenses. 56 Capital Partners www.56capitalpartners.com

Financial Advisor 52

Financial Advisor Accounting License Financial Planning 52

Harness Wealth

APRIL 17, 2025

Technology deductions extend beyond basic communications to encompass computer equipment, software licenses, and various technology subscriptions essential for business operations. Understanding these limitations and planning accordingly can help maximize QBI benefits while maintaining compliance with IRS regulations.

Taxes 52

Taxes Tax Planning Professional Services Planning 52

Harness Wealth

FEBRUARY 19, 2025

Ensure BOI reporting compliance and remain updated with the latest BOI regulations with a tax advisor from Harness. A tax advisor from Harness can also help businesses stay up-to-date with the changing legal framework surrounding BOI reporting, ensuring ongoing compliance. Starting at $1,500 per year.

Taxes 52

Taxes Financial Advisor Consulting Certification 52

BlueMind

MARCH 10, 2022

Related Read: Reducing Compliance Risk with Technology. E-Docs Ensures Compliance and Increased Security Following regulatory compliance is an extremely important matter for you as an advisor. Any suspicious records or compliance concerns could mean fines, license suspensions, and even jail time.

Compliance 52

Compliance Electronics Financial Advisor Clients 52

Trade Brains

SEPTEMBER 26, 2024

NSE also oversees compliance by its members and listed companies with relevant rules and regulations. Regulatory compliance: Operating in a highly regulated industry, NSE must comply with strict legal and regulatory requirements. Any failure in compliance may lead to penalties, fines, or reputational damage, impacting operations.

Compliance 90

Compliance Banking Management Risk Management 90

BlueMind

FEBRUARY 11, 2022

Personal identification documents NAO documents Compliance forms including KYC (Know Your Client) and AML (Anti-Money Laundering) Estate documents Insurance documents Debt-related documents Tax Brokerage Account Statements IRA (Traditional and Roth) Statements 529 Plan Account Statements Bank Account Statements And so forth.

Compliance 52

Compliance Clients Financial Advisor Electronics 52

Sara Grillo

JUNE 24, 2024

There is no securities license required to sell it. 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. Variable universal life (VUL=mutual funds) were/are illustrated using an 8%-12% CD-like ROR eternally.

Insurance 59

Insurance Math Financial Advice Compliance 59

Diamond Consultants

JANUARY 17, 2023

Long a hallmark of the independent broker dealer space, OSJs, in their simplest form, provide oversight for independent advisors wishing to offload the burden of compliance, including the responsibility of licensing and registration. In exchange for doing so, OSJs take an override on the advisor’s business.

Compliance 52

Compliance License Engineering Management 52

Trade Brains

OCTOBER 24, 2024

License & Cloud fees contribute around 12 percent, Maintenance Fees contribute 34 percent and Consulting Fees contribute 54 percent in Q2FY25. As a subsidiary of Oracle Corporation, it supports over 900 clients globally, enhancing their operational efficiency and compliance. The company also has a strong current ratio of 5.74

Financial Services 52

Financial Services Banking Consulting License 52

Harness Wealth

FEBRUARY 20, 2024

CPAs are licensed by state boards of accountancy in the state where they practice. Once licensed, CPAs work in various settings including public accounting firms, corporate finance departments, and other financial companies offering services that span tax preparation and planning, auditing, and financial strategy.

Taxes 52

Taxes License Education Tax Planning 52

Steve Feinberg

SEPTEMBER 7, 2023

For home service contractors, completing your workload, attracting new clients, and keeping up to date with all the applicable codes and licensing your business needs can already be a monumental task. Not only is it required by law, but proper tax compliance ensures that your business avoids penalties and maximizes tax returns and deductions.

Compliance 52

Compliance Taxes Accounting Budgeting 52

Harness Wealth

MAY 8, 2025

However, understanding the tax implications of operating as a Sole Proprietorship is crucial to ensure compliance and optimize financial outcomes. It does not require formal registration with the state, aside from obtaining necessary licenses or permits, making it easy to establish and maintain.

Taxes 52

Taxes Tax Planning Compliance Planning 52

Midstream Marketing

NOVEMBER 6, 2024

It is important to manage compliance and regulatory issues well. Addressing Compliance and Regulatory Concerns Financial services work in a field that has many rules. Don’t give financial advice without the proper licenses. However, financial advisors have specific challenges that need careful attention.

Financial Advisor 52

Financial Advisor Marketing Marketing Media 52

International College of Financial Planning

JUNE 14, 2023

It is important to note that a new NISM certification must be obtained before the expiry of the existing certificate to ensure compliance with guidelines. Upon receiving the fees, SEBI will issue the SEBI Registered Investment Advisor License, while BASL will issue a membership certificate.

Investment Advisor 52

Investment Advisor Investments Investing Certification 52

FMG

DECEMBER 22, 2022

I followed realtors, lenders, creators, speakers, as well as non-licensed money bloggers to get some great ideas. I couldn’t pass up on the one-click compliance! I create a lot of content and didn’t want “submitting things to compliance” to become a time suck. What led you to update or create a new site with FMG?

Financial Advisor 52

Financial Advisor Compliance Clients Communication 52

Sara Grillo

MARCH 13, 2023

He holds Series 7 and 65 Securities Licenses in addition to a Life & Health Insurance License. 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.

Financial Advisor 59

Financial Advisor Assets Management License 59

Harness Wealth

MAY 17, 2025

Delawares tax system has unique features that distinguish it from federal tax filing, and knowing these differences will help you avoid common pitfalls and ensure compliance with state laws. It is important to review the current years guidelines to ensure compliance. Income thresholds for filing vary depending on filing status and age.

Taxes 52

Taxes Electronics Tax Planning Compliance 52

Trade Brains

MAY 14, 2024

Full-Stack Insurers are insurance firms that are fully licensed and controlled by a regulatory authority and perform sourcing, underwriting, and servicing in-house. Digital full-stack insurers, such as Go Digit are insurance manufacturing companies focusing on integrating technology in their operations.

Insurance 59

Insurance Commission License Management 59

Trade Brains

MAY 6, 2023

The majority of the issues related to Yes Bank were related to corporate governance and compliance. The carrier also lost its flying license during the period. The company has also got its license back recently and may be at the cusp of a turnaround. By 2019, the bank was already one of the top four private lenders in India.

Banking 52

Banking License Government Investing 52

Sara Grillo

DECEMBER 12, 2022

He holds multiple FINRA licenses and he is associated with The Leaders Group, and independent broker-dealer. Charles King is a financial advisor licensed in 55 states and territories. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice. Matt Pruitt, CFP®, CFA®. Charles King.

Financial Advisor 52

Financial Advisor Commission Clients Insurance 52

Sara Grillo

JUNE 2, 2022

I have several issues with the methodology, namely: The advisor must have an “acceptable compliance record.” There are plenty of financial advisors with a long tenure in the business and spotless compliance records. ” Huh? When are we going to stop making excuses and let advisors wiggle out of their wrongdoings?

Financial Advisor 69

Financial Advisor Clients Ethics Numbers 69

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.

Banking 59

Banking Financial Services Retail Consulting 59

Midstream Marketing

NOVEMBER 6, 2024

It is important to manage compliance and regulations correctly. Navigating Compliance and Regulations While Standing Out in a Competitive Market In the financial services industry, it is crucial to follow rules and regulations. Only give financial advice if you are licensed. This will help you connect with your target audience.

Financial Advisor 52

Financial Advisor Marketing Marketing Media 52

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 162

Compliance Clients Wealth Management Management 162

Sara Grillo

JUNE 20, 2022

But nothing was done until I voice that frustration and an email to compliance or to HR, I forgot who it was, did anything actually get done, ’cause from that conversation with that partner until the time I re-located to my practice to Tampa, I think it was probably about six months or so.

Financial Advisor 52

Financial Advisor Sales Commission Clients 52

Brown Advisory

JANUARY 1, 2023

The business has progressed during the past three years as a result of strategic objectives on business digitisation, continued investment into the Premier Agency sales model, and expansion within mainland China through new provincial license approvals. In China alone, we believe AIA still has meaningful growth opportunities.

Investments 52

Investments Investing Valuation Clients 52

Harness Wealth

FEBRUARY 4, 2025

Financial Professional Qualification: Holding certain financial licenses, such as Series 7, 65, or 82, may also grant accreditation status. These include legal fees, administrative costs, audit expenses, compliance costs, and operational fees. Tax related products and services provided through Harness Tax LLC.

Taxes 52

Taxes Investments Investing Startup 52

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? We provide the classes and we pay for many of the costs associated with obtaining the Series 65 license. Insurance-only agents are not licensed to offer investment advice. The client?

Financial Advisor 52

Financial Advisor License Clients Insurance 52

Diamond Consultants

DECEMBER 20, 2022

The cherry on top was the expansion of affiliation models to include the ability to become an RIA, drop FINRA licenses, or gain more independence without the need to repaper. The feeling of vulnerability at the big firms will rise for advisors—with increased hyper-vigilant compliance scrutiny.

Recruitment 59

Recruitment Compliance Wealth Management Banking 59

The Big Picture

AUGUST 20, 2024

We were one of the last to get what’s called a value added license to the compus stat database. So any compliance people listening, I’m just spitballing here. Stumbled across our stuff and reached out and said, Hey, could you link this to the public equity databases like Compus stat so we could use it for valuing stocks?

Assets 173

Assets Management Portfolio Marketing 173

The Big Picture

JANUARY 24, 2023

RITHOLTZ: — and having the guy — the attendant asked me, do you have an even number or odd number license plate? RITHOLTZ: My answer was, I’m 11, I don’t have a license plate, just give the kid a gallon of gas. KLINSKY: Right. Do you target specific returns for different types of investment?

Investments 263

Investments Investing Numbers Banking 263

Sara Grillo

SEPTEMBER 26, 2022

In addition to his formal Education Robert Wright holds his FINRA Series 7 and 66 licenses, is a CERTIFIED FINANCIAL PLANNER Professional and holds Georgia Resident Life and Health Insurance. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

The Big Picture

SEPTEMBER 5, 2023

And so it’s become more and more heated to the point where the appraisal subcommittee, which is allowed to monitor and review the appraisal foundation, the appraisal foundation is basically to maintain the verbiage of our license, our certification, what we’re supposed to do. RITHOLTZ: 44, I mean, it’s there for the taking.

Sales 130

Sales Numbers Marketing Marketing 130

Harness Wealth

MARCH 20, 2025

Home office space deductions Business equipment deductions Travel expense deductions Vehicle mileage deductions Business meal deductions License fee deductions Health insurance deductions Retirement contribution deductions How do I claim home office tax deductions? However, the licenses must be directly related to business activities.

License 52

License Taxes Insurance Consulting 52

Harness Wealth

APRIL 29, 2025

Some require extensive record-keeping, regular board meetings, and additional compliance filings, while others maintain relatively straightforward compliance requirements. The administrative burden varies dramatically between different business structures.

Taxes 52

Taxes Compliance Distribution License 52

Sara Grillo

SEPTEMBER 12, 2022

JR agrees, stating that 70% of CFP holders have insurance licenses. #4 Since 70% of CFP® mark holders have insurance licenses, anything they do on the insurance side (outside of variable products) is not regulated by the SEC. Nothing in this podcast or blog can be interpreted as legal or compliance advice.

CFP 80

CFP Financial Planner Ethics Financial Planning 80

Harness Wealth

MAY 8, 2025

However, understanding the tax implications of operating as a Sole Proprietorship is crucial to ensure compliance and optimize financial outcomes. It does not require formal registration with the state, aside from obtaining necessary licenses or permits, making it easy to establish and maintain.

Taxes 52

Taxes Tax Planning Compliance Planning 52