Fee Only Fiduciary Duty Financial Advice Investment Advisor 
Inside Information
SEPTEMBER 28, 2021
The list of things that would trigger the requirement to register also includes the delivery of a financial plan, holding out as providing advice or holding out in any way (presumably including advertisements) that indicates the offer of holistic financial advisory services. The point here is what’s in the middle.
Sara Grillo
NOVEMBER 14, 2022
Yet the investment and insurance communities seem to be on two different sides of the fence when it comes to a solution. Fee only advisors can now purchase annuities for their clients without having to be licensed agents. Do advisors breach fiduciary duty when they fail to recommend annuities?
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