Nerd's Eye View

JULY 8, 2024

And to meet the growing demand for the required "Ethics & Professional Responsibility" content in particular, we're also excited to announce the return of our IAR Ethics CE on August 29 , 2024!

Ethics 239

Ethics Education Financial Advice Taxes 239

Midstream Marketing

OCTOBER 30, 2024

RIAs must understand and follow SEC marketing rules to meet their ethical and legal needs. When Registered Investment Advisors (RIAs) build a strong brand, they can earn trust, gain credibility, and get noticed by their audience. By regularly exceeding what clients expect, investment advisors maintain high ethical standards.

Investment Advisor 52

Investment Advisor Investments Investing Ethics 52

Walkner Condon Financial Advisors

APRIL 17, 2023

The suitability standard requires brokers and investment advisors to recommend investments that are suitable for the client. Additionally, CFPs must adhere to ethical and professional standards, including a fiduciary duty to act in the best interests of their clients.

Fee Only 52

Fee Only Financial Advisor Certified Financial Planner Commission 52

Walkner Condon Financial Advisors

APRIL 21, 2023

The suitability standard requires brokers and investment advisors to recommend investments that are suitable for the client. Additionally, CFP s must adhere to ethical and professional standards, including a fiduciary duty to act in the best interests of their clients.

Certified Financial Planner 52

Certified Financial Planner Financial Advisor Fee Only Financial Planner 52

Sara Grillo

MARCH 13, 2023

According to Bak, assets don’t care about the ethics of their investors. Phil holds the Chartered Alternative Investment Analyst (CAIA) designation and is the host of The ETF Experience and the Phil Bak Podcast. nationally recognized as the first investment advisor to offer only Exchange Traded Funds.

Financial Advisor 59

Financial Advisor Assets Management License 59

Sara Grillo

JANUARY 9, 2023

What are the changes in Colorado investment advisor regulations regarding financial planning? 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.

Financial Planning 52

Financial Planning Planning Financial Planner CFP 52

The Big Picture

DECEMBER 6, 2022

But when you factor in, you know, legal costs, compliance, portfolio management, trading, there is a lot that goes into launching an ETF. You’re suggesting that’s the money-loser for that company? BERRUGA: Yeah. I mean, I always say it depends on the economies or the scale of the business that you are considering.

Clients 163

Clients Investing Investments Management 163