Compliance Investment Planning License 
Sara Grillo
AUGUST 25, 2023
Pure fiduciaries These are advisors who hold no insurance or brokerage licenses and are considered pure fiduciaries. Note: Ryan holds both insurance and FINRA licenses. Services: Investment management, retirement planning, fee-based financial planning Note: Rodolfo holds insurance and FINRA licenses.
Sara Grillo
DECEMBER 12, 2022
He holds multiple FINRA licenses and he is associated with The Leaders Group, and independent broker-dealer. Matt has over 10 years of investment experience, including a highly technical background in private equity backed transactions and corporate debt restructurings. For advise on such matters, contact a legal or compliance advisor.
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The Big Picture
AUGUST 20, 2024
We were one of the last to get what’s called a value added license to the compus stat database. So any compliance people listening, I’m just spitballing here. Stumbled across our stuff and reached out and said, Hey, could you link this to the public equity databases like Compus stat so we could use it for valuing stocks?
Sara Grillo
SEPTEMBER 26, 2022
Robert completed His Undergraduate Degree at The University of Utah in Economics and his Master of Science in Advanced Personal Financial Planning at Kansas State University. Robert is also an Instructor of CFP® Coursework for the College of Financial Planning Online and on Campus at Kennesaw State University.
Sara Grillo
SEPTEMBER 12, 2022
JR agrees, stating that 70% of CFP holders have insurance licenses. #4 Since 70% of CFP® mark holders have insurance licenses, anything they do on the insurance side (outside of variable products) is not regulated by the SEC. Nothing in this podcast or blog can be interpreted as legal or compliance advice.
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