Nerd's Eye View

JUNE 21, 2023

All investment advisers are fiduciaries that owe a duty of care and loyalty to their clients, and, in an ideal world, advisory firms and their staff would abide by these requirements without the need for a prescriptive code of ethics.

Ethics 216

Ethics Fiduciary Duty Compliance Clients 216

Walkner Condon Financial Advisors

APRIL 17, 2023

Fee-Only financial advisors and firms receive no sales-related compensation or incentives. Additionally, CFPs must adhere to ethical and professional standards, including a fiduciary duty to act in the best interests of their clients. They are compensated only by the fee the client pays.

Fee Only 52

Fee Only Financial Advisor Certified Financial Planner Commission 52

Walkner Condon Financial Advisors

APRIL 21, 2023

Fee-Only financial advisors and firms receive no sales-related compensation or incentives. Additionally, CFP s must adhere to ethical and professional standards, including a fiduciary duty to act in the best interests of their clients. What does it mean to be a Fee-Only financial advisor ?

Certified Financial Planner 52

Certified Financial Planner Financial Advisor Fee Only Financial Planner 52

Sara Grillo

NOVEMBER 14, 2022

Do advisors breach fiduciary duty when they fail to recommend annuities? Should those with only insurance licenses that allow them to sell annuities and/or life insurance be held to the same “fiduciary standard” as Registered Investment Advisers (RIAs) with the SEC or state regulators?

Insurance 59

Insurance Financial Advisor Retirement License 59

Sara Grillo

JUNE 12, 2023

BARRY FLAGG OR STEVEN ZEIGER: So I often hear insurance professionals who are more on the sales person side of insurance professional than the fiduciary orientation of insurance profession, I often hear them say, I know how to properly structure a policy, I structure it properly, others don’t.

Insurance 59

Insurance Clients Financial Advisor Math 59

The Big Picture

JULY 4, 2023

WEINSTEIN: Okay, this isn’t like, you know, you’re sitting on the sell side and yes, you know, you’re on the equity sales desk and someone doesn’t need to transact with Goldman on the other side of the phone, but they do need to transact with someone. They don’t need to transact. RITHOLTZ: Right.

Management 143

Management Recruitment Numbers Banking 143