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. Working with advocacy groups to influence policy, law and governance. Mentoring younger advisors. Division of Securities.

Financial Planning 52

Financial Planning Planning Financial Planner CFP 52

The Big Picture

DECEMBER 6, 2022

People in Spain when I was growing up in the ‘80s and ‘90s, they expect to just retire and have the government give them like a paycheck every month. But when you factor in, you know, legal costs, compliance, portfolio management, trading, there is a lot that goes into launching an ETF. BERRUGA: Yeah.

Clients 162

Clients Investments Investing Management 162

Sara Grillo

SEPTEMBER 26, 2022

Wright: Yes, So yes, is the quick answer, the more convoluted answer would be that we should control internally… We’re a fraternity of ethics and competency testing that should be different from the SEC. Salaske: Right, now.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

Tucker Advisors

AUGUST 9, 2021

When advisors are not fiduciaries, they follow what is called the “suitability” requirement, which is basically an ethical call to follow the same prioritization of interests. What are the key points advisors need to beware of in order to be in compliance with the present definition/regulation regarding IRA rollovers? The client?

Financial Advisor 52

Financial Advisor License Clients Insurance 52

The Big Picture

FEBRUARY 28, 2023

One of the things we haven’t talked about, if you’re appealing more to individual investors, typically, that comes along with regulation and compliance standards and oversight from the government — LAYTON: Yup. My dad was a business person and had a tremendous work ethic.

Investments 147

Investments Investing Clients Assets 147

Sara Grillo

SEPTEMBER 12, 2022

Get ready for a ride as we examine it from all angles: regulatory, ethically, intellectually, etc. The CFP Board’s long, uninterrupted history of putting its own interests ahead of the consumers makes it decidedly unqualified to govern the financial planning profession. He would like to see several competing agencies to exist as well.

CFP 80

CFP Financial Planner Ethics Financial Planning 80

The Better Letter

APRIL 27, 2023

One day, fairly early in the first semester, Professor Paschal called on a woman in the row ahead of me (who I shall kindly refer to – using a pseudonym since she became a prominent government attorney – as “Rhoda Clancy”) and asked her a typically impossible question. Many are indeed fundamental. Who should I marry?

Banking 74

Banking Media Ethics Compliance 74

The Big Picture

JANUARY 14, 2025

Maybe we should do this out from under the compliance regulations of a broker dealer? A big part of it is the behavioral nature, which I think is driven by governance of investing organizations where 00:30:31 [Speaker Changed] Filled with humans. And then how much longer was it before? It breaks down the sources of all these things.

Management 147

Management Investing Investments Assets 147