2015 Commission Investment Planning 
Sara Grillo
OCTOBER 31, 2022
Any financial advisor who is registered as an advisor with a regulator has to fill out this form for initial approval by either a state or a Federal (the United States Securities and Exchange Commission) regulator. If the person is an insurance agent or solely a broker selling commission-based products, they will not have to file a Form ADV.
Sara Grillo
DECEMBER 12, 2022
Watch as all h&#@ breaks loose discussing the question of broker vs. financial advisor, commissions, fees, value, and more! The advisors made the point that the cost of insurance can’t be separated from the “cost of service” or the commission the agent makes. If you’re going out for 20 year term, who cares what the commission is?
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Sara Grillo
AUGUST 14, 2023
If their sole method of compensation is a product, and/or they are taking commissions, then in reality it is less likely they are embracing all the values that the standard requires. Commissions are opaque. In early 2015, Scott sold his ownership interest in the firm. They may still follow it, but they are not bound.
Sara Grillo
AUGUST 26, 2024
Early on in his entrepreneurial journey, Scott saw firsthand the inherent flaws and conflicts of interest in the traditional sales and product driven approach, as several family members had lost a significant portion of their hard-earned life savings to high-cost, commission-based investment products and inappropriate advice.
Sara Grillo
NOVEMBER 14, 2022
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? Are commissions bad? Are commissions bad? In early 2015, Scott sold his ownership interest in the firm.
Sara Grillo
APRIL 10, 2023
Early on in his entrepreneurial journey, Scott saw firsthand the inherent flaws and conflicts of interest in the traditional sales and product driven approach, as several family members had lost a significant portion of their hard-earned life savings to high-cost, commission-based investment products and inappropriate advice.
Sara Grillo
SEPTEMBER 26, 2022
Securities and Exchange Commission. Staff of the Investment Adviser Regulation Office. Division of Investment Management. Regulation of Investment Advisers by the U.S. Securities and Exchange Commission. In early 2015, Scott sold his ownership interest in the firm. 2022, August 1). 2013, March).
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