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
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.
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.
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. The first step in the competency stairway is regulatory compliance. . Registration Standards for Financial Advisors. Life Insurance.
Sara Grillo
MARCH 13, 2023
For marketing tips in the transparency age… Learn what to say to prospects on social media messenger apps without sounding like a washing machine salesperson. You could also consider my financial advisor social media membership which teaches financial advisors how to get new clients and leads from LinkedIn.
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? That story, because of its sensationalism in the media, became somehow representative, when in fact, it really isn’t at all. Insurance-only agents are not licensed to offer investment advice.
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.
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. I have several issues with the methodology, namely: The advisor must have an “acceptable compliance record.” This blog is not for the faint of heart. ” Huh?
Expert insights. Personalized for you.
52 
Let's personalize your content