Fee Only and Professional Services - Financial Advisor Source

Reclaiming Professionalism

Inside Information

APRIL 26, 2024

The broker-dealers would tell their reps (and some still do) that if they were to venture outside of the BD’s compliance umbrella and go fee-only, the SEC would come after them with a vengeance. Or that FINRA is going to take over the regulation of all advice-givers, and bring the hammer down on those fee-only ‘rogue brokers.’

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Qualified Small Business Stock (QSBS): Explaining the Gain Exclusion

Darrow Wealth Management

NOVEMBER 5, 2024

professional services, consulting, law, health, financial services, farming, among others). Darrow Wealth Management is a financial fiduciary and fee-only registered investment advisor. In general, the original purchaser of QSBS must be the seller claiming the Section 1202 exclusion.²

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Reclaiming Professionalism

Qualified Small Business Stock (QSBS): Explaining the Gain Exclusion

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