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

Sara Grillo

JUNE 24, 2024

There is no securities license required to sell it. Actuarial Guideline 49 of 2015, via the National Association of Insurance Commissioners (NAIC) sought to cap, or limit the highly unlikely, aggressive illustrations used in the sales software prior to 2015. For advise on such matters, contact a legal or compliance advisor.

Insurance 59

Insurance Math Financial Advice Compliance 59

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

Trade Brains

MAY 6, 2023

For the 4 year period between 2015 and 2019, the company showed sales worth ₹3098 Crores. These sales were made to 15 nonexistent customers. Following this, the company also produced good financial results when it came to sales from 2012-15. The carrier also lost its flying license during the period.

Banking 52

Banking License Government Investing 52

Trade Brains

MARCH 11, 2024

The project has already sold out 2141 units with a sale value of Rs. OFSS makes 52% of its revenues from consulting fees, 33% from maintenance fees, and 15% from licensing fees. Sale of Energy increased by 12.79% due to higher generation of power. The Project is built on a 25 25-acre land Parcel with a carpet area of 4.5

Banking 59

Banking Financial Services Retail Sales 59

Sara Grillo

JUNE 2, 2022

Or, advisors who hustle and sell aggressively, push products to meet sales quotas, all the while neglecting their clients that they already “sold” – those are the people who may rank high by this metric. I have several issues with the methodology, namely: The advisor must have an “acceptable compliance record.” ” Huh?

Financial Advisor 69

Financial Advisor Clients Ethics Numbers 69

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. 1125 Offer for Sale (OFS) Rs. Digital full-stack insurers, such as Go Digit are insurance manufacturing companies focusing on integrating technology in their operations.

Insurance 59

Insurance Commission License Compliance 59

Sara Grillo

DECEMBER 12, 2022

I don’t care what that sales rep is making. 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.

Financial Advisor 52

Financial Advisor Commission Clients Insurance 52

Sara Grillo

JUNE 20, 2022

This often creates perverse outcomes that are not in the client’s interests, because the advisor may apply pressure sales tactics. His personality is a bit more relatable and laid back, so he didn’t use a high pressure sales pitch. 4 Assimilate the Edward Jones financial advisor sales training to your own style.

Financial Advisor 52

Financial Advisor Sales Commission 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

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.

Investing 52

Investing Investments Valuation Clients 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. And so that then led to the sale of that business in the late 1990s to Credit Suisse. So any compliance people listening, I’m just spitballing here. That actually is exactly what we ended up doing. That’s not Mike.

Assets 173

Assets Management Portfolio Taxes 173

The Big Picture

SEPTEMBER 5, 2023

I used to sell units in an onsite sales condo new development on the Upper East Side. And if you actually stood back and looked at a chart of what was happening, prices were going straight up and sales were going straight down. And you could see it because sales actually lead price direction by a year in many cases.

Sales 130

Sales Numbers Taxes Marketing 130

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. If there’s a problem, we work twice as hard to fix it.

Investing 263

Investing Investments Numbers Banking 263

Sara Grillo

SEPTEMBER 26, 2022

I think that one of the challenging things is that sales kinda has a dirty dirty name to it, right? I think that we do need sales people to sell things, I think sales is just the expression of value, the expression and the communication of value. Now, granted, I don’t think that that’s true.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

Sara Grillo

SEPTEMBER 12, 2022

The CFP Board promotes a faux fiduciary standard that does not require its members to disclose potential conflicts of interest in writing and that does not require them disclose the percentage or amount of commission its members may receive from the sale of insurance products with opaque commissions.

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

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

The Big Picture

NOVEMBER 25, 2024

Would you license these models to me? And so we, we get this contract written and I go off to grad school assuming I would go work at a big bank doing sales and trading in some quant role. I’m a broke college student who needs some beer money. Oh yeah, for sure. I didn’t, I didn’t even know what a basis point was.

Portfolio 147

Portfolio Management Assets Marketing 147