SEI

AUGUST 17, 2022

SEI Regulatory Services helps investment managers and institutions meet reporting and compliance requirements for pooled vehicles, alternative vehicles, separate accounts, sovereign wealth funds, family offices, and more—benefiting from a unique data warehouse approach, team of industry experts, and a single comprehensive platform.

Financial Services 52

Financial Services Compliance Commission Assets 52

Sara Grillo

JULY 8, 2022

No joke, there are alot of morons in the business who are salespeople in disguise and just sit around golfing all day while earning trailing commissions off their clients to whom they sold whole life insurance 20 years ago. Check emails, social media to respond: 15 minutes. Work on outstanding compliance tasks: 1 hour.

Financial Advisor 59

Financial Advisor Financial Planner Clients Financial Planning 59

Fortune Financial

SEPTEMBER 25, 2023

Regulatory Compliance Ensure the wealth management firm is registered and compliant with relevant regulatory authorities. In the United States, this often means being registered with the Securities and Exchange Commission (SEC) or state-level agencies. Fee Transparency Transparency is paramount when it comes to fees.

Wealth Management 59

Wealth Management Management Risk Tolerance Retirement Planning 59

Sara Grillo

DECEMBER 12, 2022

Watch as all h&#@ breaks loose discussing the question of broker vs. financial advisor, commissions, fees, value, and more! The advisors made the point that the cost of insurance can’t be separated from the “cost of service” or the commission the agent makes. If you’re going out for 20 year term, who cares what the commission is?

Financial Advisor 52

Financial Advisor Commission Clients Insurance 52

Fortune Financial

SEPTEMBER 25, 2023

Regulatory Compliance Ensure the wealth management firm is registered and compliant with relevant regulatory authorities. In the United States, this often means being registered with the Securities and Exchange Commission (SEC) or state-level agencies. Fee Transparency Transparency is paramount when it comes to fees.

Wealth Management 52

Wealth Management Management Risk Tolerance Retirement Planning 52

Sara Grillo

JUNE 2, 2022

I am writing it because I’m sick of the BS narratives perpetrated by the financial media, a prime example being the Barron’s Top Advisor List. I have several issues with the methodology, namely: The advisor must have an “acceptable compliance record.” This blog is not for the faint of heart. ” Huh?

Financial Advisor 69

Financial Advisor Clients Ethics Numbers 69

Sara Grillo

APRIL 21, 2022

I feel that to proclaim that somebody is a top advisor based on AUM or Twitter followers is an abridgement of morality, and it is my goal to overshadow any media voice that claims as such. I did not interview all the hundreds of thousands of advisors out there, I conducted research using Google and posted on social media.

Ethics 52

Ethics Financial Advisor Clients Management 52

Carson Wealth

MAY 22, 2023

Surprisingly, stocks continue to trend higher in the face of a constant barrage of negative news in the media. Brokers’ commissions, accounting for just over 20% of residential investment, experienced a 28% decrease due to a significant drop in sales activity.

Marketing 52

Marketing Marketing Economy Economics 52

Sara Grillo

JUNE 20, 2022

It was a major advantage that they paid a base salary; albeit not a huge one it was still supportive of him feeling a bit more comfortable that working on straight commission. Learn what to say to prospects on social media messenger apps without sounding like a washing machine salesperson. Absolutely.

Financial Advisor 52

Financial Advisor Sales Commission Clients 52

Brown Advisory

AUGUST 14, 2023

This is nefariously exploited by social media.3 This is nefariously exploited by social media.3 For social media types selling advertising, the algorithms need to be tuned to keep serving up “new” information to keep our attention – with scant regard to the quality of the information presented.

Investments 52

Investments Investing Portfolio Accounting 52

Sara Grillo

APRIL 11, 2022

” As an hourly financial advisor he doesn’t make commissions for recommending products such as private REITs, structured products, etc. He also has considerably less of a compliance, operational, and administrative burden because he is not taking custody or discretion of his clients’ assets.

Financial Advisor 52

Financial Advisor Portfolio Clients Management 52

Tucker Advisors

AUGUST 9, 2021

According to the Department of Labor’s (DOL) website, the identification of a fiduciary follows ERISA standards and the five-part DOL test, based on the assumption that anyone who offers investment advice for a fee, commission or other compensation, will be regarded as a fiduciary. Download Your Free Referral Marketing Guide. The client?

Financial Advisor 52

Financial Advisor License Clients Insurance 52

The Better Letter

APRIL 27, 2023

Today’s polarized reality, with media subscribers demanding what they want to read, see, and hear (Fox: “We report what you decide”), makes getting to the best possible approximation of the truth an increasingly aspirational endeavor. .” It’s abject, conspiracist nonsense.

Banking 74

Banking Media Ethics Compliance 74

Sara Grillo

JUNE 12, 2023

Our scheduled meetups are here: June 14 th , 2023 July 12 th , 2023 August 9 th , 2023 September 13 th , 2023 October 11 th , 2023 November 8 th , 2023 December 12 th , 2023 Learn what to say to prospects on social media messenger apps without sounding like a washing machine salesperson. Please consult a consultant. Advisor or attorney?

Insurance 59

Insurance Clients Financial Advisor Math 59

Sara Grillo

MAY 8, 2023

For marketing tips in the transparency age… Learn what to say to prospects on social media messenger apps without sounding like a washing machine salesperson. You could also consider my financial advisor social media membership which teaches financial advisors how to get new clients and leads from LinkedIn.

Insurance 59

Insurance Clients Financial Advisor Accounting 59

The Big Picture

SEPTEMBER 5, 2023

Listen, it’s always a good time to generate a commission if you’re a commission real estate agent. That was my social media of choice for years. MILLER: Right, so I interact with a lot of media. That’s the biggest thing about media. RITHOLTZ: It was great. MILLER: Of course. MILLER: Right.

Sales 130

Sales Numbers Marketing Marketing 130

Sara Grillo

SEPTEMBER 26, 2022

If you are a financial planner and you’d like to learn how to communicate better… Learn what to say to prospects on social media messenger apps without sounding like a washing machine salesperson. Securities and Exchange Commission. Securities and Exchange Commission. 2022, August 1). CFP® Professional Demographics.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

Nerd's Eye View

OCTOBER 30, 2024

However, despite the large number of potential conflicts that exist for advisory firms, much of the financial media and the general public tend to focus specifically on the conflicts caused by commission-based fee models.

Advertising 246

Advertising Commission Marketing Marketing 246

Sara Grillo

SEPTEMBER 12, 2022

The CFP Board promotes a faux fiduciary standard that does not require its members to disclose potential conflicts of interest in writing and that does not require them disclose the percentage or amount of commission its members may receive from the sale of insurance products with opaque commissions.

CFP 80

CFP Financial Planner Ethics Financial Planning 80

Trade Brains

NOVEMBER 4, 2024

Its predictions have gained such prominence that major media outlets now regularly cite Polymarket odds alongside traditional polling data. ” Regulatory Challenges In January 2022, the Commodity Futures Trading Commission fined Polymarket $1.4 regulatory compliance and market manipulation concerns.

Compliance 52

Compliance Commission Investments Investing 52