Sara Grillo

APRIL 21, 2022

So here’s a blog about some things that ethical financial advisors do in the hopes they will serve as an example of right behavior for the rest of the industry to follow. Ethics matter in financial advice! Ethics matter. The following case studies serve as examples of ethical actions taken by financial advisors.

Ethics 52

Ethics Financial Advisor Clients Management 52

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.

Financial Advisor 110

Financial Advisor Commission Clients Compliance 110

Midstream Marketing

DECEMBER 10, 2024

Navigating Regulatory Compliance in Marketing For financial advisors, it is very important to follow rules. One good practice is to have a compliance officer check and approve all marketing materials before sharing them. It helps create a record for compliance. It’s vital to follow the marketing rule for ethical practice.

Financial Advisor 52

Financial Advisor Marketing Marketing Clients 52

Walkner Condon Financial Advisors

APRIL 17, 2023

In contrast, a commission-based financial advisor receives commissions or other forms of compensation from financial product providers for recommending and selling their products. This can make it difficult for investors to fully understand the potential conflicts of interest that may exist when working with a commission-based advisor.

Fee Only 52

Fee Only Financial Advisor Certified Financial Planner Commission 52

Walkner Condon Financial Advisors

APRIL 21, 2023

In contrast, a commission-based financial advisor receives commissions or other forms of compensation from financial product providers for recommending and selling their products. This can make it difficult for investors to fully understand the potential conflicts of interest that may exist when working with a commission-based advisor.

Certified Financial Planner 52

Certified Financial Planner Financial Advisor Fee Only Financial Planner 52

Sara Grillo

NOVEMBER 8, 2022

You should get this run by compliance before publishing any of this text. You should ask compliance for them. Please view my Code of Ethics here (insert hyperlink). 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.

Compliance 52

Compliance Wealth Management Financial Advice Financial Planning 52

Sara Grillo

JUNE 2, 2022

What about ethics? 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. Ethical actions that financial advisors take. What about fiduciary standard?

Financial Advisor 69

Financial Advisor Clients Ethics Numbers 69