Inside Information

SEPTEMBER 28, 2021

This first petition also touches on dually-registered individuals, recommending that, if they hold themselves out as advisors, they be required to disclose precisely when their work as an advisor ends and their efforts to effect a sale begins—something that is far from clear in current client engagements.

Financial Planner 40

Financial Planner Financial Planning Commission Sales 40

Inside Information

OCTOBER 30, 2021

Knut has tirelessly pursued the betterment of investment advisory services provided to individual investors by emphasizing the importance of maintaining true fiduciary standards. Knut‘s influence on regulatory rulemaking and guidance over the past two decades has been vitally important to advancing the investment fiduciary cause.

CFP 40

CFP Commission Education Investing 40

Walkner Condon Financial Advisors

FEBRUARY 6, 2024

Which leads me to the troubling conundrum of investing in foreign stocks. This bias is really just a subspecies of “familiarity bias,” meaning that investors tend to be more confident in investing in things they know better or have more contact with than things that are more distant. diversified) investment diet.

Assets 59

Assets Investing Investments Marketing 59

Sara Grillo

NOVEMBER 14, 2022

Financial advisors have many options at their hands to solve it, from financial planning and investment management services to fixed products such as annuities. Yet the investment and insurance communities seem to be on two different sides of the fence when it comes to a solution. Are commissions bad?

Insurance 59

Insurance Financial Advisor Retirement License 59

WiserAdvisor

JULY 22, 2022

Hiring a financial advisor is beneficial in multiple ways. You get access to financial expertise and knowledge on investments and money management, a deeper understanding of how markets work, and how to create and deploy the right investment strategies to attain your goals.

Financial Advisor 105

Financial Advisor Portfolio Budgeting Investment Advisor 105

Sara Grillo

SEPTEMBER 26, 2022

I do believe it should be different regulated differently from portfolio management, which is the typical definition of the registered investment advisor, but that it shouldn’t be the CFP Board that is controlling the regulatory environment for financial planners. Salaske: What is an investment advisor?

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

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. We also co-invested in an investment recently where we — RITHOLTZ: That’s right. HAMBURGER: — we participated in the same investment. Has that closed?

Compliance 152

Compliance Clients Wealth Management Management 152