Don Connelly & Associates

AUGUST 21, 2023

The reality is that advisors, through no fault of their own, sometimes find themselves in situations where conflicts between ethical principles, client interests, and regulatory requirements can create ethical dilemmas. Here are the most common ethical dilemmas faced by financial advisors.

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Ethics Financial Advisor Clients Risk Tolerance 52

Brown Advisory

APRIL 22, 2021

Corporate Engagement Spotlight: Ethical AI Practices ajackson Thu, 04/22/2021 - 11:37 Right now, as you read this, there are computers and network servers all over the world pondering one topic: you. We also engage with company management teams to encourage best practices for mitigating risks, and to monitor implementation of those practices.

Ethics 52

Ethics Compliance Government Clients 52

Brown Advisory

APRIL 22, 2021

Corporate Engagement Spotlight: Ethical AI Practices. As sustainable investors, we engage current and potential portfolio companies in discussions about these risks, to help ensure that they are managing and mitigating them in a comprehensive manner. Thu, 04/22/2021 - 11:37. Artificial Intelligence: Definitions.

Ethics 52

Ethics Compliance Government Clients 52

Carson Wealth

JULY 12, 2022

The first step in the competency stairway is regulatory compliance. . Before being appointed, that professional will have to pass one or more state insurance exams, agree to a code of ethics, and maintain their license annually through continuing education. Registration Standards for Financial Advisors.

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Financial Advising Financial Planning Ethics Financial Services 98

International College of Financial Planning

MARCH 31, 2023

Wealth management is an important aspect of the financial world that focuses on managing wealth to help individuals and families achieve their financial goals. Wealth management involves a range of financial services as an investment, finance, real estate, tax, and risk management.

Wealth Management 52

Wealth Management Management Risk Management Ethics 52

International College of Financial Planning

MAY 30, 2023

The finance industry is known for its complexity and competitiveness,where ethics play a pivotal role in determining arofessional’s success and credibility. As a finance student, understanding and practicing ethical behavior is crucial for building a responsible and reputable career. Impact of Ethics on Finance and the Economy.

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Ethics Compliance Education Clients 40

Midstream Marketing

JANUARY 19, 2025

By breaking it down into manageable phases, you’ll be able to build a robust online presence that attracts your ideal clients, establishes your authority, and ultimately grows your business. Knowing the guidelines from groups like the SEC will help keep your online actions ethical and clear.

Financial Advisor 52

Financial Advisor Marketing Marketing Media 52

Midstream Marketing

OCTOBER 31, 2024

They know that their marketing strategies work well and they follow important ethical and legal rules. They manage all parts of marketing. Compliance and Regulatory Advertising Standards The financial services industry has many rules. They help financial institutions feel secure by focusing on risk management.

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Consulting Financial Market Marketing Marketing 52

Steve Sanduski

OCTOBER 24, 2023

On today’s show, Andrew Brzezinski and I discuss generative AI, overcoming the barriers to adopting AI, key risks and ethical considerations, and the future outlook for using AI in an advisory practice. Ethical and compliance challenges advisors need to address as they add AI to their workflows.

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Ethics Wealth Management Compliance Financial Advice 59

Midstream Marketing

DECEMBER 10, 2024

Adding these tools for modern marketing to your wealth management services practice can help you automate tasks. CRM Systems for Effective Client Relationship Management Client relationship management (CRM) systems are important for financial advisors. Advisors can manage follow-ups easily too.

Financial Advisor 52

Financial Advisor Marketing Marketing Clients 52

Sara Grillo

OCTOBER 31, 2022

If they tell you they charge a percentage of assets under management, and you see that they also charge commissions, that should indicate that they either weren’t be that honest intentionally or weren’t careful about how they explained their fees to you, both of which are of concern. Do they manage money?

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Financial Advisor Commission Clients Compliance 110

Midstream Marketing

NOVEMBER 6, 2024

Financial Goals: These include saving for retirement, managing money, and paying for education. Here are some tools you need to consider: Social Media Management Platforms: Tools like Hootsuite and Buffer let you plan social media posts ahead of time. Explain how to manage your retirement funds and pay for healthcare.

Financial Advisor 52

Financial Advisor Marketing Marketing Media 52

Sara Grillo

JUNE 17, 2024

The original investment ROR shown to the consumer was higher than a rational and/or ethical advisor would use. Grillo Investment Management, LLC will strive to maintain current information however it may become out of date. Grillo Investment Management, LLC will strive to maintain current information however it may become out of date.

Insurance 59

Insurance Financial Advice Math Compliance 59

Sara Grillo

NOVEMBER 8, 2022

You should get this run by compliance before publishing any of this text. You should ask compliance for them. We provide wealth management services for a fixed monthly fee that is made clear to you at all times. Please view my Code of Ethics here (insert hyperlink). Please note: This is just a model. Business owner.

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Compliance Wealth Management Financial Advice Financial Planning 52

Sara Grillo

DECEMBER 11, 2023

There are a lot of people who consider their fees low but here’s a financial advisor who claims to be charging 60-80% lower fees than the “full-service” wealth management firms who are his competition. Grillo Investment Management, LLC will strive to maintain current information however it may become out of date.

Financial Advisor 59

Financial Advisor Financial Advice Wealth Management Consulting 59

Sara Grillo

JUNE 24, 2024

This is an expose of the entire universal life insurance industry and his decade-long research project to save millions of consumers and their lapsing policies makes him one of our country’s most important and ethical whistleblowers. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice.

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Insurance Math Financial Advice Compliance 59

Walkner Condon Financial Advisors

APRIL 17, 2023

At Walkner Condon we use the assets under management (AUM) model. We get paid based on a percentage of a client’s assets that we manage. This fee covers not only investment management, but also financial planning. A fiduciary is someone who manages money or property for someone else. How are we compensated?

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Fee Only Financial Advisor Certified Financial Planner Commission 52

Walkner Condon Financial Advisors

APRIL 21, 2023

How we are Compensated At Walkner Condon we use the assets under management (AUM) model. We get paid based on a percentage of a client’s assets that we manage. This fee covers not only investment management, but also financial planning. A fiduciary is someone who manages money or property for someone else.

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Certified Financial Planner Financial Advisor Fee Only Financial Planner 52

Sara Grillo

AUGUST 25, 2023

Services: I offer investment management as an add-on to financial planning. If just doing investment management alone – it would be the usual balancing, tax-loss harvesting (If warranted), asset allocation etc., Specialties: estate planning, tax saving strategies, debt and credit management. 56 Capital Partners www.56capitalpartners.com

Financial Advisor 52

Financial Advisor Accounting License Financial Planning 52

The Big Picture

DECEMBER 6, 2022

They have Uranium, just really fascinating ideas that allow investors to express their investment themes in a very specific, fairly low cost, professionally managed ETF. And before that, Morgan Stanley, doing technology and operations planning for the wealth and asset management group. BERRUGA: You know, great question.

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Clients Investments Investing Management 162

Park Place Financial

JULY 6, 2022

In other words, their ability to pay beneficiaries depends on the supervision of state and local governing bodies and the groups managing the plans. The primary objective of HB 3898 is to encourage the groups managing retirement plans to collaborate with government bodies sponsoring them on funding matters. What Does HB 3898 Entail?

Retirement 52

Retirement Retirement Planning Certified Financial Planner Ethics 52

Sara Grillo

JUNE 2, 2022

Factors included in the rankings: assets under management, revenue produced for the firm, regulatory record, quality of practice, and philanthropic work. They say they based the rankings on: Assets under management (AUM) Revenue produced for the firm Regulatory record Quality of practice Philanthropic work. What about ethics?

Financial Advisor 69

Financial Advisor Clients Ethics Numbers 69

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. Grillo Investment Management, LLC will strive to maintain current information however it may become out of date.

Financial Advisor 52

Financial Advisor Fiduciary Duty Compliance Financial Advice 52

Sara Grillo

MARCH 13, 2023

Active managers though are worried about having their “secret sauce” made public. Active managers have been evidenced to generate outperformance in an ETF wrapper. According to Bak, assets don’t care about the ethics of their investors. Investment managers are smart and pay attention to ESG risks such as litigation.

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. It’s a lot easier for the state to find a 1% AUM fee reasonable because they can point back to the money the advisor is managing.

Financial Planning 52

Financial Planning Planning Financial Planner CFP 52

Brown Advisory

DECEMBER 5, 2023

Yet a whole slew of relevant environmental, social, and governance-related information has been panned by political agendas that are far removed from the purview of investment managers. All of these potential outcomes of a company’s ability to manage its environmental, social, and governance issues should be of interest to investors.

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Fiduciary Duty Government Clients Investing 52

Brown Advisory

JUNE 12, 2017

Buffett and Munger are significant influences on the investment approach used in managing Flexible Equity Strategy portfolios. It doesn’t manage for quarter-to-quarter earnings, provide earnings guidance or have budgets at the parent company, though many of the subsidiaries do. The firm’s reputation is in the managers’ hands.

Investments 52

Investments Investing Ethics Taxes 52

Brown Advisory

JUNE 12, 2017

Buffett and Munger are significant influences on the investment approach used in managing Flexible Equity Strategy portfolios. It doesn’t manage for quarter-to-quarter earnings, provide earnings guidance or have budgets at the parent company, though many of the subsidiaries do. The firm’s reputation is in the managers’ hands.

Investments 52

Investments Investing Ethics Taxes 52

Midstream Marketing

NOVEMBER 6, 2024

Financial Goals : They want to save for retirement , manage their money, and pay for education. Here are some key tools to consider: Social Media Management Platforms : Tools like Hootsuite and Buffer help you plan your posts ahead of time. Retirement Planning : Offer tips on saving and managing retirement funds.

Financial Advisor 52

Financial Advisor Marketing Marketing Media 52

Sara Grillo

JUNE 12, 2023

These meetups are free and the goal is to learn from each other about how to grow and manage a transparent practice for the benefit of clients. So ethically, I think it applies everywhere. Grillo Investment Management, LLC will strive to maintain current information however it may become out of date. And 0:30:26.4

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. Assuming we all agree that financial planning does not yet meet the standard for being considered a” profession”, what do you believe is required in order for that to happen? Robert will be on the “for” team.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

The Big Picture

DECEMBER 14, 2022

She and her team manages over $565 billion in real estate assets. MCCARTHY: I’d back up actually a little bit further in thinking about how did I get there, because I don’t think it was very obvious actually that I would come out of Yale with an ethics, politics and economics degree — RITHOLTZ: Perfect really, right?

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Assets Investing Investments Portfolio 162

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

That’s kind of unusual these days, you went straight to the Partners Group after you got a Bachelor’s in Finance from Brigham Young University and the Marriott School of Management, and you’ve stayed there your entire career. And I went to pitch this asset management guy on why he should come be a part of that process.

Investing 147

Investing Investments 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 debaters include: Robert Wright, CFP®, a financial consultant with Advocacy Wealth Management. Wright retorts back that restrictions don’t necessarily mean higher ethical standards. Robert will be on the “for” team.

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. If youre a small business owner , for example, youll benefit from a tax advisor with an in-depth understanding of business deductions, payroll taxes, and cash flow management. Technology can also play a key role here.

Taxes 52

Taxes Certification Ethics Communication 52

The Big Picture

JANUARY 14, 2025

They are a multi-manager, multi-strategy hedge fund that has put up some pretty impressive numbers. Last time you were on a panel, we were talking about the rise of, of some emerging managers, including yourself. Maybe we should do this out from under the compliance regulations of a broker dealer? Appreciate it.

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Management Investing Investments Assets 147