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). This information is general in nature; for specific advice applicable to your current situation please contact a consultant or advisor. Business owner.

Compliance 52

Compliance Wealth Management Financial Advice Financial Planning 52

Sara Grillo

AUGUST 25, 2023

I am an irreverent and fun marketing consultant for financial advisors. These are topics I’ve written about in the past: Here are some examples of things Ethical Financial Advisors do Direct indexing sucks Top advisor lists are bullcrap How to read an ADV #3 I can’t say it enough – you have to do your own research.

Financial Advisor 52

Financial Advisor Accounting License Financial Planning 52

Brown Advisory

JANUARY 20, 2023

We work closely with our clients and their outside professional advisors to identify when FBAR filings are required and to help facilitate compliance. As such, even the most ethical taxpayers may feel anxiety about these reports, since they may end up being punished despite the best intentions. Includes a U.S. citizen, a U.S.

Accounting 52

Accounting Compliance Taxes Banking 52

Sara Grillo

DECEMBER 22, 2023

Ethical actions Low cost advisors Flat fee advisors Advisors for small accounts Advice only planners Hourly planners I can’t say it enough – you have to do your own research. I did not interview all the hundreds of thousands of advisors out there, I conducted research using Google, consulted with my network, and posted on social media.

Financial Advisor 52

Financial Advisor Fiduciary Duty Compliance Financial Advice 52

Sara Grillo

JUNE 2, 2022

I am a CFA® charterholder and financial advisor marketing consultant. I am an irreverent and fun marketing consultant for financial advisors. What about ethics? I have several issues with the methodology, namely: The advisor must have an “acceptable compliance record.” So please subscribe! ” Huh?

Financial Advisor 69

Financial Advisor Clients Ethics Numbers 69

Harness Wealth

FEBRUARY 20, 2024

Many states require an ethics exam covering professional conduct and accounting rules, ensuring that CPAs are equipped to handle ethical situations during their career. Enrolled agents must obtain continuing education of 72 hours every three years with a minimum of 16 hours per year including ethics training.

Taxes 52

Taxes License Education Tax Planning 52

Sara Grillo

MARCH 13, 2023

I am a CFA® charterholder and financial advisor marketing consultant. I am an irreverent and fun marketing consultant for financial advisors. According to Bak, assets don’t care about the ethics of their investors. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice.

Financial Advisor 59

Financial Advisor Assets Management License 59

Sara Grillo

JANUARY 9, 2023

The goal of the Transparent Advisor Movement is to create the country’s best financial advisors – the most ethical, effective, and successful financial advisors that the industry has ever seen in its history. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice. Division of Securities. March 2022.

Financial Planning 52

Financial Planning Planning Financial Planner CFP 52

The Big Picture

DECEMBER 6, 2022

And basically, all they do is looking at these trends, talking to industry consultants, industry participants and CEOs to really try to get a sense of where, like, the most relevant emerging trends are. But when you factor in, you know, legal costs, compliance, portfolio management, trading, there is a lot that goes into launching an ETF.

Clients 162

Clients Investments Investing Management 162

The Big Picture

FEBRUARY 28, 2023

It’s about surrounding yourself with not generalist consultants that come in and tell you this market is big and growing, right? My dad was a business person and had a tremendous work ethic. It’s through a lot of work. RITHOLTZ: Really interesting. And I have no doubt that that trend will continue.

Investments 147

Investments Investing Clients Assets 147

Sara Grillo

JUNE 17, 2024

The original investment ROR shown to the consumer was higher than a rational and/or ethical advisor would use. This information is general in nature; for specific advice applicable to your current situation please contact a consultant or advisor. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice.

Insurance 59

Insurance Financial Advice Math Compliance 59

The Better Letter

APRIL 27, 2023

On the other hand,… …I see the evidence as demonstrating that there are many, many exceedingly difficult questions, personal, moral, ethical, religious, economic, political, and otherwise. Unless we just “know” and don’t need to consult the authorities. Many are indeed fundamental. Who should I vote for?

Banking 74

Banking Media Ethics Compliance 74

Brown Advisory

JUNE 12, 2017

Buffett and Munger celebrate good business and investment practices, the potential for human achievement, high ethics and decency to one’s fellow man. All the big brokerage firms have large compliance departments, and they should. Munger and Buffett both would avoid compensation consultants altogether.

Investing 52

Investing Investments Ethics Taxes 52

Brown Advisory

JUNE 12, 2017

Buffett and Munger celebrate good business and investment practices, the potential for human achievement, high ethics and decency to one’s fellow man. All the big brokerage firms have large compliance departments, and they should. Munger and Buffett both would avoid compensation consultants altogether.

Investing 52

Investing Investments Ethics Taxes 52

Sara Grillo

JUNE 12, 2023

BARRY FLAGG OR STEVEN ZEIGER: So the regulation is clearly written towards the insurance agent with the insurance broker, but every fiduciary ethically should demand that the financial services person involved in the insurance, that they follow the tenants of this regulation. So ethically, I think it applies everywhere.

Insurance 59

Insurance Clients Financial Advisor Math 59

Sara Grillo

SEPTEMBER 26, 2022

The debaters are: Robert Wright, CFP®, a financial consultant with Advocacy Wealth Management. I am a CFA® charterholder and financial advisor marketing consultant. I am an irreverent and fun marketing consultant for financial advisors. Robert will be on the “for” team. JR will be on the “against” team.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

Sara Grillo

SEPTEMBER 12, 2022

Get ready for a ride as we examine it from all angles: regulatory, ethically, intellectually, etc. The debaters include: Robert Wright, CFP®, a financial consultant with Advocacy Wealth Management. I am a CFA® charterholder and financial advisor marketing consultant. Robert will be on the “for” team. So please subscribe!

CFP 80

CFP Financial Planner Ethics Financial Planning 80

Harness Wealth

JANUARY 17, 2025

From identifying deductions to ensuring compliance, navigating tax complexities can quickly become overwhelming. Some tax advisors specialize in tax planning, while others may concentrate on auditing, financial consulting, or simply annual tax filing. How do you assess an accounting firms reputation?

Taxes 52

Taxes Certification Ethics Communication 52

The Big Picture

JANUARY 14, 2025

It was accounting, investment banking and consulting. Maybe we should do this out from under the compliance regulations of a broker dealer? So I was his first hire. He was building out that new team, what my other colleagues did back then you had basically three choices come outta Wharton. So it was, it was a great opportunity.

Management 147

Management Investments Investing Assets 147