BlueMind

JULY 15, 2022

Category: Compliance. The Significance Of Financial Compliance Financial compliance requires all actions, procedures, guidelines, and business culture to abide by the rules and regulations set by the regulatory authorities of the financial market. Related: Compliance and Automation – An Ideal Unison!

Compliance 98

Compliance Financial Advisor Certified Financial Planner Clients 98

Walkner Condon Financial Advisors

APRIL 21, 2023

The suitability standard requires brokers and investment advisors to recommend investments that are suitable for the client. At Walkner Condon, all of our advisors are fiduciaries for our clients. What is a Certified Financial Planner (CFP) ? FINANCIAL ADVISOR, CANDIDATE FOR CFP® CERT.

Certified Financial Planner 52

Certified Financial Planner Financial Advisor Fee Only Financial Planner 52

Walkner Condon Financial Advisors

APRIL 17, 2023

The suitability standard requires brokers and investment advisors to recommend investments that are suitable for the client. At Walkner Condon, all of our advisors are fiduciaries for our clients. What is a Certified Financial Planner (CFP)?

Fee Only 52

Fee Only Financial Advisor Certified Financial Planner Commission 52

Sara Grillo

DECEMBER 12, 2022

With over thirty years of financial services experience, Mike is an independent financial professional helping individuals and small business owners in providing unbiased insurance and investment strategies. The opinions expressed herein do not necessarily represent the views of Sara Grillo or Grillo Investment Management, LLC.

Financial Advisor 52

Financial Advisor Commission Clients Insurance 52

The Big Picture

JULY 29, 2024

So 00:09:10 [Speaker Changed] I know Orion for many years because from the RIA perspective, from a registered investment advisor perspective, clients want to know how their portfolios are doing, what their performance is, both in absolute terms and relative to benchmarks. That’s right. So tell us a little bit about that.

Clients 147

Clients Portfolio Financial Advisor Investments 147

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