Sara Grillo

JUNE 2, 2022

Or, advisors who hustle and sell aggressively, push products to meet sales quotas, all the while neglecting their clients that they already “sold” – those are the people who may rank high by this metric. What about ethics? I have several issues with the methodology, namely: The advisor must have an “acceptable compliance record.”

Financial Advisor 69

Financial Advisor Clients Ethics Numbers 69

Walkner Condon Financial Advisors

APRIL 21, 2023

Fee-Only financial advisors and firms receive no sales-related compensation or incentives. Additionally, CFP s must adhere to ethical and professional standards, including a fiduciary duty to act in the best interests of their clients. What does it mean to be a Fee-Only financial advisor ?

Certified Financial Planner 52

Certified Financial Planner Financial Advisor Fee Only Financial Planner 52

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

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. And on top of that, it is still very early because electric vehicles sales doubled into 2021, and that is still 9 percent of total sales. BERRUGA: Yeah.

Clients 162

Clients Investments Investing Management 162

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. annualized compared with 6.9%

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. The first question of the day focused on the scandal at Wells Fargo over sales practices and how to avoid the same at Berkshire given its decentralized corporate structure.

Investing 52

Investing Investments Ethics Taxes 52

Sara Grillo

JUNE 12, 2023

BARRY FLAGG OR STEVEN ZEIGER: So I often hear insurance professionals who are more on the sales person side of insurance professional than the fiduciary orientation of insurance profession, I often hear them say, I know how to properly structure a policy, I structure it properly, others don’t. Please consult a consultant.

Insurance 59

Insurance Clients Financial Advisor Math 59

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

The Big Picture

DECEMBER 14, 2022

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? MCCARTHY: — and end up in M&A on Wall Street.

Assets 162

Assets Investments Investing Portfolio 162

The Big Picture

FEBRUARY 28, 2023

When I came up in the industry, when a company would come up for sale, we would have four or five months to research that business, and to do due diligence, and to meet the management team, to build our models. My dad was a business person and had a tremendous work ethic. LAYTON: Yeah. RITHOLTZ: Really interesting.

Clients 147

Clients Investments Investing Assets 147

Sara Grillo

SEPTEMBER 12, 2022

Get ready for a ride as we examine it from all angles: regulatory, ethically, intellectually, etc. If we are comparing them to the Utopian idea of what a fraternity of ethics and competence testing should be, then we should find a way to implement it because daydreaming about what it ought to be is less useful.

CFP 80

CFP Financial Planner Ethics Financial Planning 80

The Big Picture

JANUARY 14, 2025

And there was a sales person walking around trying to get anyone to talk to them. Maybe we should do this out from under the compliance regulations of a broker dealer? The one I’m reading right now is called The World For Sale. Sure, of course. And then how much longer was it before?

Management 147

Management Investments Investing Assets 147