Commission Compliance Fiduciary Duty 
Nerd's Eye View
OCTOBER 25, 2023
There is a general understanding that investment advisers have a fiduciary relationship with their clients – in other words, that they are required to act in the client's best interests. These 3 components in practice make up a core part of the adviser's fiduciary duty to their clients.
Nerd's Eye View
JUNE 12, 2024
For example, if an advisor recommends an investment that prioritizes the commission they would receive rather than any benefit the client would derive from it, they could incur fines and sanctions for violating their fiduciary duty as an advisor.
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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.
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.
Fortune Financial
SEPTEMBER 25, 2023
When researching wealth management firms, paying attention to their credentials and qualifications is essential, including whether they have a fiduciary duty to uphold. Regulatory Compliance Ensure the wealth management firm is registered and compliant with relevant regulatory authorities.
Fortune Financial
SEPTEMBER 25, 2023
When researching wealth management firms, paying attention to their credentials and qualifications is essential, including whether they have a fiduciary duty to uphold. Regulatory Compliance Ensure the wealth management firm is registered and compliant with relevant regulatory authorities.
Sara Grillo
JUNE 12, 2023
Just a reminder that nothing in this podcast can be interpreted as a product, insurance or investment recommendation of any sort, nothing in this podcast can be interpreted as the legal or compliance advice, or any recommendations specific to your or your client’s personal situations. Please consult a consultant. Advisor or attorney?
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