Trade Brains

MAY 6, 2023

Worst Performing Stocks in India – Cox & Kings Indians have definitely come across this name if they were looking to book a sweet all-inclusive vacation throughout the country. The majority of the issues related to Yes Bank were related to corporate governance and compliance. Where Did It All Go Wrong for Yes Bank?

Banking 52

Banking License Government Investing 52

Sara Grillo

JUNE 2, 2022

I have several issues with the methodology, namely: The advisor must have an “acceptable compliance record.” There are plenty of financial advisors with a long tenure in the business and spotless compliance records. ” Huh? When are we going to stop making excuses and let advisors wiggle out of their wrongdoings?

Financial Advisor 69

Financial Advisor Clients Ethics Numbers 69

Sara Grillo

DECEMBER 12, 2022

This e-book contains 47 financial advisor LinkedIn messages, sequences, and scripts , and they are all two sentences or less. He holds multiple FINRA licenses and he is associated with The Leaders Group, and independent broker-dealer. Charles King is a financial advisor licensed in 55 states and territories. Charles King.

Financial Advisor 52

Financial Advisor Commission Clients Insurance 52

Sara Grillo

JUNE 20, 2022

This e-book contains 47 financial advisor LinkedIn messages, sequences, and scripts , and they are all two sentences or less. I had a book that I took over as a very small book, but go out and prospect Banister to build it, do as much as you can and hit you hit your numbers. NATE PENHA: Yeah, it was a 5 million book.

Financial Advisor 52

Financial Advisor Sales Commission Clients 52

Brown Advisory

JANUARY 1, 2023

It was one of the best books we read in 2022 and has many lessons for long-term investors. Whilst we enjoyed reading the rollicking tales from the energy and commodities industries in our Book Club title called The World for Sale3, unfortunately it probably only reinforced our caution when investing in these sectors.

Investments 52

Investments Investing Valuation Clients 52

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.

Compliance 162

Compliance Clients Wealth Management Management 162

Tucker Advisors

AUGUST 9, 2021

What are the key points advisors need to beware of in order to be in compliance with the present definition/regulation regarding IRA rollovers? We provide the classes and we pay for many of the costs associated with obtaining the Series 65 license. Insurance-only agents are not licensed to offer investment advice. The client?

Financial Advisor 52

Financial Advisor License Clients Insurance 52

Diamond Consultants

DECEMBER 20, 2022

The cherry on top was the expansion of affiliation models to include the ability to become an RIA, drop FINRA licenses, or gain more independence without the need to repaper. The feeling of vulnerability at the big firms will rise for advisors—with increased hyper-vigilant compliance scrutiny.

Recruitment 59

Recruitment Compliance Wealth Management Banking 59

The Big Picture

AUGUST 20, 2024

We were one of the last to get what’s called a value added license to the compus stat database. So any compliance people listening, I’m just spitballing here. I brought up unis, but I recall maybe it’s 10 years ago, he, he wrote a column that he eventually turned into a book called The Vanguard Effect.

Assets 173

Assets Management Portfolio Marketing 173

The Big Picture

JANUARY 24, 2023

I have one line in the book where I say Ross Johnson is totally insane and leave the book. And the book, by the way, is quite accurate. But the book was quite accurate. And this is why, you know, again, in the book, there’s a meeting where Ross Johnson comes in to meet Ted, I’m a partner.

Investing 263

Investing Investments Numbers Banking 263

The Big Picture

SEPTEMBER 5, 2023

And so it’s become more and more heated to the point where the appraisal subcommittee, which is allowed to monitor and review the appraisal foundation, the appraisal foundation is basically to maintain the verbiage of our license, our certification, what we’re supposed to do. MILLER: So I just finished two books.

Sales 130

Sales Numbers Marketing Marketing 130

Sara Grillo

SEPTEMBER 26, 2022

This e-book contains 47 financial advisor LinkedIn messages, sequences, and scripts , and they are all two sentences or less. In addition to his formal Education Robert Wright holds his FINRA Series 7 and 66 licenses, is a CERTIFIED FINANCIAL PLANNER Professional and holds Georgia Resident Life and Health Insurance.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

Harness Wealth

MARCH 20, 2025

Home office space deductions Business equipment deductions Travel expense deductions Vehicle mileage deductions Business meal deductions License fee deductions Health insurance deductions Retirement contribution deductions How do I claim home office tax deductions? However, the licenses must be directly related to business activities.

License 52

License Taxes Insurance Consulting 52

Sara Grillo

SEPTEMBER 12, 2022

JR agrees, stating that 70% of CFP holders have insurance licenses. #4 Since 70% of CFP® mark holders have insurance licenses, anything they do on the insurance side (outside of variable products) is not regulated by the SEC. Nothing in this podcast or blog can be interpreted as legal or compliance advice.

CFP 80

CFP Financial Planner Ethics Financial Planning 80

Harness Wealth

MARCH 25, 2025

To minimize your tax liability, its important to document every business expense, such as: Travel : airfare, lodging, rental cars Professional fees : licensing, malpractice insurance Education : continuing medical education or certifications Note: Record all expenses associated with your work as an independent contractor.

Medical 52

Medical Taxes Tax Planning Education 52

The Big Picture

NOVEMBER 25, 2024

Would you license these models to me? You know, you run an RIA, the SEC just comes knocking every once in a while to say, Hey, just wanna make sure the compliance program’s all set up. In fact, I once found a very similar quote in a, in an investment book from the 1980s. What about books? Oh yeah, for sure.

Portfolio 147

Portfolio Management Marketing Marketing 147