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. On the page where the advisors are listed out, it says, “Presented by Charles Schwab.”

Financial Advisor 69

Financial Advisor Clients Ethics Numbers 69

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

Brown Advisory

JANUARY 1, 2023

Please see the end of this letter for important disclosures and a GIPS compliant presentation. Mick did a presentation at the London Value Investors Conference in June 2022 detailing why we prefer TSMC to Intel over the next five years. Brown Advisory Institutional is a GIPS Compliant firm and is a division of Brown Advisory LLC.

Investing 52

Investing Investments Valuation Clients 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

According to Nathan: Somebody chased him out of the neighborhood with a weed wacker Somebody called the police on him for no reason other than him just being present in the area He had a gun pulled on him numerous times. It was a difficult situation and there were many instances of his safety being compromised. Terrifying.

Financial Advisor 52

Financial Advisor Sales Commission Clients 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.

Financial Advisor 52

Financial Advisor License Clients Insurance 52

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. He basically tried to build a stable of outside managers that he thought were interesting and, and presented interesting ideas initially. So any compliance people listening, I’m just spitballing here.

Assets 173

Assets Management Portfolio Marketing 173

Sara Grillo

SEPTEMBER 26, 2022

If that’s the argument, but if you’re saying the CFP Board has a problem, it’s x, y and z, you don’t necessarily have to have a solution in order to be able to present that as a problem, I think that’s disingenuous type of argumentation, but seeing that you do kind of have a solution.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

Harness Wealth

MARCH 20, 2025

The professional restrictions that resulted from COVID-19 may have passed, however, remote work has remained an ever-present feature of the post-pandemic employment arena. Whichever method you choose, its advisable to use tax software or consult a tax professional to ensure accuracy and compliance with IRS regulations.

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

MARCH 25, 2025

To minimize your tax liability, its important to document every business expense, such as: Travel : airfare, lodging, rental cars Professional fees : licensing, malpractice insurance Education : continuing medical education or certifications Note: Record all expenses associated with your work as an independent contractor.

Medical 52

Medical Taxes Tax Planning Education 52