Darrow Wealth Management

NOVEMBER 4, 2024

Advisors affiliated with a bank, broker dealer, or large asset manager might not be able to make a fully independent recommendation. Consider this: you walk into a Bank of America branch and ask for the best type of savings account on the market. Only registered investment advisors have a full-time fiduciary duty to their clients.

Financial Advisor 65

Financial Advisor Certified Financial Planner Fiduciary Duty Fee Only 65

Good Financial Cents

JUNE 11, 2023

They charge either a percentage of assets managed or a flat hourly rate that can run as high as several hundred dollars per hour, plus trading commissions and administrative fees. They are salespeople paid to push products, earning commissions and kickbacks when they do. In stark contrast, Personal Capital is an investment advisor.

Management 80

Management Investments Investing Accounting 80

Park Place Financial

NOVEMBER 29, 2022

Securities and Exchange Commission. At Park Place Financial, we observe our fiduciary duty to always act in our client’s best interest, meaning you will receive the utmost transparency whenever you rely on us for financial. are required if you are located in a bank or credit union. derivative. Additional disclosures.

Certified Financial Planner 52

Certified Financial Planner Fiduciary Duty Retirement Planning Retirement 52

WiserAdvisor

MAY 31, 2022

According to the Federal Trade Commission (FTC), in 2021, American consumers lost over $5.8 These people could pretend to be a relative, bank officials, government employees, technical support staff, etc. You can check the company’s financial statement on the Securities Exchange Commission (SEC) EDGAR filing platform.

Investments 52

Investments Investing License Accounting 52

Inside Information

SEPTEMBER 28, 2021

Then came Reg BI, in 2019, where the Commission decided that adopting a separate rule restricting these terms was ‘unnecessary.’. 202(a)(11)(c) of the Advisers Act,” the petition says, “the Commission can increase investor protection by (re-)asserting a distinction between product sales and stand-alone investment advice.”.

Financial Planner 40

Financial Planner Financial Planning Commission Sales 40

Investing Caffeine

MARCH 25, 2025

Finished her PhD at The London School of Medicine (Barts) Practiced law at the Covington & Burling law firm representing the television broadcasting industry before the Federal Communications Commission (FCC). Hired by NASA to seek approval from the FCC for NASA systems used to track and relay satellite data.

Investments 59

Investments Investing Fiduciary Duty Healthcare 59

Sara Grillo

NOVEMBER 14, 2022

Do advisors breach fiduciary duty when they fail to recommend annuities? 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?

Insurance 59

Insurance Retirement Financial Advisor License 59