Nerd's Eye View

FEBRUARY 2, 2024

Also in industry news this week: A recent study from advisor digital marketing firm Snappy Kraken suggests firms that invest in Search Engine Optimization (SEO), have a regular cadence of emails to their subscriber list, and include video content in these messages tend to get greater returns from their marketing efforts CFP Board has created a guide (..)

Financial Planner 246

Financial Planner Compliance CFP Clients 246

Abnormal Returns

MARCH 6, 2023

citywire.com) Compliance Why compliance needs to embrace technology and become nimbler. advisorperspectives.com) What does the research say about CFP misconduct? (kitces.com) Vanguard Vanguard on the three main parts of behavioral coaching. (fa-mag.com) fa-mag.com) Vanguard is closing its UK financial planning unit.

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Compliance Wealth Management CFP Financial Advice 147

Nerd's Eye View

JUNE 6, 2023

We also talk about how Adam almost didn’t land his first job with Equitable because he didn’t do well on his insurance exams and only lucked into the job because a newly-hired manager happened to need one more insurance producer to meet his own numbers, how, in the early stages of his career, Adam wanted to work with business owners and (..)

Assets 246

Assets Financial Advisor Financial Planning Insurance 246

Nerd's Eye View

JULY 19, 2023

CFP certificants and CFA charterholders) have CE requirements to retain their credentials, IARs without such credentials haven’t traditionally had any ongoing CE requirements. While holders of certain credentials (e.g.,

Education 49

Education Investing Investments CFP 49

Nerd's Eye View

JULY 8, 2024

Attending IAR Ethics CE Day allows advicers to fulfill all 6 hours of their required IAR Ethics & Personal Responsibility CE obligations in just 1 day, preventing an end-of-year CE crunch and providing high-quality education from top experts in the field of ethics and compliance (while also satisfying their CFP Ethics and IWI Ethics requirements, (..)

Ethics 239

Ethics Education Financial Advice Taxes 239

Nerd's Eye View

DECEMBER 6, 2023

But once a financial coach addresses specific questions from clients around actual securities (e.g., how they should invest their savings or why one particular asset is better suited for their specific circumstances than another), they will need to register as an investment adviser.

Investments 246

Investments Investing Retirement Planning Financial Advising 246

XY Planning Network

APRIL 3, 2023

If it often feels as if your to-do list never ends with administrative tasks and compliance management, on top of your regular client meetings, you’re not alone! That’s why we invited XYPN members Raquel Hinman, CFP® , and Michael Reynolds, CFP®, CSRIC®, AIF®, CFT-I™ to share tips and tools they use to increase productivity in their firms.

Financial Advisor 80

Financial Advisor CFP Compliance Management 80

XY Planning Network

JULY 23, 2024

Fortunately, with XYPN membership , you not only benefit from our end-to-end tech, compliance, and support solutions as well as resource, education, and coaching assistance, but you also have the support of what's been ranked our top benefit 3 to 1 in surveys: community.

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Fee Only Compliance CFP Financial Services 88

NAIFA Advisor Today

APRIL 25, 2024

Richard Dobson is a Certified Financial Planner (CFP) who strives to simplify communication between clients and financial advisors. He is also a NAIFA member and has previously served as a former FINRA Broker Dealer Chief Compliance Officer (CCO). Richard is the author of Make Simplicity Your Superpower! and The Trusted Professional.

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Certified Financial Planner Financial Planner Compliance CFP 64

Carson Wealth

JULY 12, 2022

The first step in the competency stairway is regulatory compliance. . The securities industry weaves the Financial Industry Regulatory Authority (FINRA) and state securities commissioners into a regulatory quilt, also requiring stockbrokers and their registered agents to pass registration exams and complete annual compliance training.

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Financial Advising Financial Planning Ethics Financial Services 98

Nerd's Eye View

NOVEMBER 1, 2022

In this episode, we talk in-depth about why Mindy attributes the success of her practice’s structure to the realization that she does not enjoy selling products or investment management (or dealing with compliance that goes with them) and could more efficiently scale with an advice-only approach to one-year financial planning engagements that (..)

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Fee Only Clients Financial Planning Financial Advisor 130

Sara Grillo

OCTOBER 21, 2022

Paraplanners can also hold various designations such as the CFP® certification , ChFC, Enrolled Agent, CPA, etc. One source interviewed for this article feels that a CFP® certificant who is a virtual paraplanner shouldn’t be charging less than $75/hour, which may then scale up with experience.

Insurance 98

Insurance Financial Planner Fee Only Financial Advisor 98

Walkner Condon Financial Advisors

APRIL 21, 2023

What is a Certified Financial Planner (CFP) ? A CFP (Certified Financial Planner) is a professional designation granted by the Certified Financial Planner Board of Standards (CFP Board). CFP s must also meet ongoing continuing education requirements to maintain their certification. Alicia Vande Ven , M.S.,

Certified Financial Planner 52

Certified Financial Planner Financial Advisor Fee Only Financial Planner 52

Steve Sanduski

NOVEMBER 8, 2023

Dave Mantell , CFP®, CFA is a Managing Partner and wealth advisor at Stabler Wealth Management in Bellevue, WA. Best practices for incorporating pro bono work into your firm’s culture and clearing compliance hurdles. is the CEO of the Foundation for Financial Planning, the U.S.’s

Financial Planning 69

Financial Planning Planning Wealth Management Medicine 69

Walkner Condon Financial Advisors

APRIL 17, 2023

What is a Certified Financial Planner (CFP)? A CFP (Certified Financial Planner) is a professional designation granted by the Certified Financial Planner Board of Standards (CFP Board). Additionally, CFPs must adhere to ethical and professional standards, including a fiduciary duty to act in the best interests of their clients.

Fee Only 52

Fee Only Financial Advisor Certified Financial Planner Commission 52

Good Financial Cents

DECEMBER 14, 2022

Chief Compliance Officer. A chief compliance officer ensures financial institutions adhere to all applicable laws and regulations. To keep a business running smoothly and help avoid costly non-compliance fees, CCOs monitor company policy and compliance. Average salary: $114,832 per year. Insurance Advisor.

Budgeting 88

Budgeting Compliance Accounting Insurance 88

Sara Grillo

DECEMBER 13, 2024

Also, 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. I want to be clear that nothing in this podcast or blog can be interpreted as an investment recommendation of any type.

Financial Planning 52

Financial Planning Compliance Financial Planner Fee Only 52

AdvisorPR

SEPTEMBER 28, 2023

This automated media query platform has connected CFP® professional FPA members with over 7,300 media opportunities covering various financial planning and personal finance topics. Considerations for getting ready to work with the media, including recommended material to develop and compliance protocols. Media Mastery 2.0—modules

Financial Planner 52

Financial Planner Media Certified Financial Planner CFP 52

Gemini BITRIA

DECEMBER 19, 2021

Topics Include: Managing Crypto assets vs. traditional securities Understanding Crypto custody and Compliance The advantages of Crypto SMAs compared with Funds and Trusts Crypto Investing Strategies How to Choose a Crypto SMA.

Financial Advisor 40

Financial Advisor Compliance CFP Portfolio Management 40

Darrow Wealth Management

OCTOBER 21, 2024

Public company employees are often subject to blackout periods and lockups at some point during M&A activity, so make sure you stay in compliance. Exercising shortly before the deal closes can prevent this from happening. When Should You Exercise Stock Options?

Taxes 114

Taxes Wealth Management Planning Media 114

Indigo Marketing Agency

DECEMBER 18, 2019

That’s why top advisors outsource their marketing to proven professionals that understand our industry and compliance. . It offers comprehensive solutions, including personalized websites, compliance-ready content, email and social media tools, and more. Continuing education articles that are approved for CFP CE credit.

Financial Advisor 52

Financial Advisor Marketing Marketing Compliance 52

Sara Grillo

MAY 23, 2022

This interview with Cody Garrett, CFP, of Measure Twice Financial was mind-blowing. He is a CFP and financial advisor, founder or measure twice Financial. CODY GARRETT, CFP®: A… Absolutely, thanks so much for inviting me, Sarah. Podcast transcript. And today we have code Garrett here. Cody, thank you for being.

Financial Planner 52

Financial Planner CFP Financial Planning Education 52

Sara Grillo

MARCH 22, 2024

Also, nothing in this podcast or blog can be interpreted as legal or compliance advice. For advice on such matters, contact a legal or compliance advisor. Chris Shoup [link] Georgia David E. There is nothing that guarantees that the information presented in this article or on this website is accurate.

Financial Planning 52

Financial Planning Fee Only Financial Planner Financial Advisor 52

The Better Letter

MARCH 18, 2025

” Despite that reality, according to a study undertaken by the CFP Board , 88 percent of consumers and 30 percent of financial advisors think it’s easy to manage money. Thereafter, the big firms no longer allowed employees to organize tournament pools and trading on the pools that existed was strictly prohibited.

Numbers 75

Numbers Marketing Marketing Medicine 75

Zoe Financial

APRIL 4, 2023

Financial Tips to Keep in Mind Published April 5th, 2023 Reading Time: 6 minutes Written by: Kevin Ostergaard, CFP®, CIMA® & Mishkin Santa, J.D., Financial Tips to Keep in Mind Published April 5th, 2023 Reading Time: 6 minutes Written by: Kevin Ostergaard, CFP®, CIMA® & Mishkin Santa, J.D.,

Retirement 40

Retirement Taxes Compliance CFP 40

Sara Grillo

JANUARY 9, 2023

We welcome Dwight Dettloff, CPA, CFP, and Knut Rostad to today’s discussion. Dwight Dettloff, CPA, CFP® is the founder of Winding Trail Financial Planning in Colorado. Since March 2022, the CFP Board , Michael Kitces, the Institute for the Fiduciary Standard and the FPA, among others, have provided commentary on the memo.

Financial Planning 52

Financial Planning Planning Financial Planner CFP 52

Sara Grillo

JULY 8, 2022

Judson Meinhart, CFP®, BFA . Work on outstanding compliance tasks: 1 hour. Some days have more networking chats, some have more coaching calls, some have more compliance if I have blocks of time. I have a newsletter in which I talk about financial advisor lead generation topics which is best described as “fun and irreverent.”

Financial Advisor 59

Financial Advisor Financial Planner Clients Financial Planning 59

Sara Grillo

AUGUST 25, 2023

Nate Seiler, CFP Avg account size: $115,000 Services: I offer financial strategies. Also, 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. Note: Stoy holds an insurance license.

Financial Advisor 52

Financial Advisor Accounting License Financial Planning 52

Inside Information

OCTOBER 30, 2021

Finally, Rostad has some thoughts about the CFP Board, which has inserted the fiduciary concept into its standards of practice. “I fear,” he says, “that it is being run more like a political party as opposed to a professional organization.”. “A That CFP advisors, all of them, represent a higher standard of behavior in the marketplace.

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CFP Commission Investments Investing 40

International College of Financial Planning

JANUARY 31, 2024

Risk Management and Compliance: Vital for risk management and audit professionals, this area focuses on identifying and mitigating risks while ensuring regulatory compliance.

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Certification Financial Planning Education Wealth Management 52

Steve Sanduski

OCTOBER 23, 2024

Guest: Eric Brotman , CFP®, AEP®, CPWA®, is a Principal and the Chief Executive Officer of BFG Financial Advisors. Why AI can help with rote tasks like note-taking and compliance, but not with complex human-to-human financial advice. Finding the right strategic balance between organic growth and M&A.

Financial Planning 59

Financial Planning Clients Retirement Financial Advisor 59

Zoe Financial

MARCH 8, 2023

Two Raffle Winners Two Money Outcomes Published March 8th, 2023 Reading Time: 5 minutes Written by: Bill Rackley, CFP® Zoe Network Advisor Two Raffle Winners Two Money Outcomes Published March 8th, 2023 Reading Time: 5 minutes Written by: Bill Rackley, CFP® Zoe Network Advisor High-risk, high-reward decisions are complicated.

Taxes 40

Taxes Financial Advisor Financial Planning CFP 40

Sara Grillo

DECEMBER 12, 2022

A student of the industry, he also has the following designations: the Fellow, Life Management Institute (FLMI), the Chartered Life Underwriter (CLU), the Chartered Financial Consultant (ChFC), the Certified Financial Planner (CFP), and the Chartered Financial Analyst (CFA). Matt Pruitt, CFP®, CFA®. Chris Randall.

Financial Advisor 52

Financial Advisor Commission Clients Insurance 52

Sara Grillo

APRIL 21, 2022

Moore , CFP® of Financial Staples is an incredible example of someone who is able to make rational choices for the client regardless of what it means for her. Moore, CFP. Also, 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.

Ethics 52

Ethics Financial Advisor Clients Management 52

Fortune Financial

SEPTEMBER 25, 2023

Certified Financial Planner (CFP) CFPs are professionals who have completed rigorous education, passed a comprehensive exam and have substantial experience in financial planning. Regulatory Compliance Ensure the wealth management firm is registered and compliant with relevant regulatory authorities.

Wealth Management 59

Wealth Management Management Risk Tolerance Retirement Planning 59

Fortune Financial

SEPTEMBER 25, 2023

Certified Financial Planner (CFP) CFPs are professionals who have completed rigorous education, passed a comprehensive exam and have substantial experience in financial planning. Regulatory Compliance Ensure the wealth management firm is registered and compliant with relevant regulatory authorities.

Wealth Management 52

Wealth Management Management Risk Tolerance Retirement Planning 52

Tucker Advisors

NOVEMBER 11, 2021

If you have qualifications or designations like CFP® or your series 65 , add it to your bio. As a general rule of thumb, we would not suggest sharing content that requires compliance approval. Cashtags are a feature in Twitter allowing users to click on stock symbols and see what the “Twitterverse” is saying about them.

Financial Advisor 52

Financial Advisor Accounting Financial Advice Media 52