WiserAdvisor

MAY 31, 2022

For future reference, try to keep a written record of the complaint you register. This will also include transactions you make and the debit and credit to your account. If you notice any discrepancy in your analysis, notify the concerned financial institution, like your bank, SEC, etc., immediately.

Investments 52

Investments Investing License Accounting 52

Inside Information

SEPTEMBER 28, 2021

It says that the fiduciary duty covering investment advisors would apply to the entire advisor-client engagement, and arise as a matter of law whenever an investor gives an RIA his/her trust and confidence. The ’40 Act states (remember the petition’s reference to Section 202(a)(11)(c)?)

Financial Planner 40

Financial Planner Financial Planning Commission Sales 40

Sara Grillo

NOVEMBER 14, 2022

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? Yet the investment and insurance communities seem to be on two different sides of the fence when it comes to a solution.

Insurance 59

Insurance Retirement License Financial Advisor 59