Commission Investment Planning License 
Sara Grillo
AUGUST 26, 2024
Early on in his entrepreneurial journey, Scott saw firsthand the inherent flaws and conflicts of interest in the traditional sales and product driven approach, as several family members had lost a significant portion of their hard-earned life savings to high-cost, commission-based investment products and inappropriate advice.
WiserAdvisor
JUNE 2, 2023
Investment advisors help manage and diversify a client’s portfolio to limit their exposure to market volatility. Securities and Exchange Commission (SEC) if they manage $100 million or more in assets. Stockbrokers require a state license to carry out their practice and must have cleared FINRA-administered securities exams.
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Sara Grillo
NOVEMBER 14, 2022
He is a flat fee advisor; not a licensed insurance agent. With annuities now being able to be offered in 401k plans, the playing field has changed. Fee only advisors can now purchase annuities for their clients without having to be licensed agents. Are commissions bad? Are commissions bad?
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?
Sara Grillo
APRIL 10, 2023
Early on in his entrepreneurial journey, Scott saw firsthand the inherent flaws and conflicts of interest in the traditional sales and product driven approach, as several family members had lost a significant portion of their hard-earned life savings to high-cost, commission-based investment products and inappropriate advice.
Sara Grillo
AUGUST 14, 2023
If their sole method of compensation is a product, and/or they are taking commissions, then in reality it is less likely they are embracing all the values that the standard requires. Commissions are opaque. But if they are acting in the capacity of a broker or agent then they are not bound to follow the fiduciary standard.
Sara Grillo
SEPTEMBER 26, 2022
Securities and Exchange Commission. Staff of the Investment Adviser Regulation Office. Division of Investment Management. Regulation of Investment Advisers by the U.S. Securities and Exchange Commission. 2022, August 1). CFP® Professional Demographics. 2013, March). Zweig, Jason, and Fuller, Andrea. 2019, July 30).
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