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.

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Compliance Clients Wealth Management Management 162

Sara Grillo

DECEMBER 22, 2023

But before we get to the podcast… Look, there are alot of schmucks out there hawking crap products disguised as financial advice. Please subscribe to my newsletter to receive updates that raise awareness of consumer financial issues. 9 Sept 2013). Six Core Fiduciary Duties for Financial Advisors. Don’t be fooled!

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Financial Advisor Fiduciary Duty Compliance Financial Advice 52

Sara Grillo

MARCH 13, 2023

The Transparent Advisor Movement’s mission is to promote ideals of clarity, modesty, integrity, dignity, and client advocacy in all aspects of financial advice, with a special focus on Advice Only, Flat Fee, and Hourly service models. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice.

Financial Advisor 59

Financial Advisor Assets Management License 59

The Big Picture

DECEMBER 6, 2022

I did in 2013 the largest banking transaction that the market had seen since the financial crisis, it was a $2.4 when I first moved from Spain, and I learned a lot because I spent a lot of time with financial advisors, which, as you know, is a key segment of our client base today. billion deal. What’s it like in Spain?

Clients 162

Clients Investments Investing Management 162

Sara Grillo

MAY 8, 2023

The Transparent Advisor Movement’s mission is to promote ideals of clarity, modesty, integrity, dignity, and client advocacy in all aspects of financial advice, with a special focus on Advice Only, Flat Fee, and Hourly service models. If yes… Join the Transparency Advisor Movement.

Insurance 59

Insurance Clients Financial Advisor Accounting 59

Sara Grillo

SEPTEMBER 26, 2022

2013, March). Scott Salaske is the founder and CEO of Firstmetric , a flat fee financial advisor firm in Troy, Michigan. Ever since the beginning of his 20+ year long career, Scott has pursued his mission of delivering high quality financial advice in a low cost and unbiased way. City: Washington, DC. www.cfp.net.

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CFP Financial Advisor Financial Planner Ethics 59

Sara Grillo

SEPTEMBER 12, 2022

Nothing in this podcast or blog can be interpreted as legal or compliance advice. For advise on such matters, contact a legal or compliance advisor. Scott Salaske is the founder and CEO of Firstmetric , a flat fee financial advisor firm in Troy, Michigan. 2013, March). Just Say No’ to CFP Board’s New Standards.

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CFP Financial Planner Ethics Financial Planning 80