James Hendries

OCTOBER 4, 2022

Weakening global demand presents a major headwind for China as an important exporter to the world. Securities and advisory services offered through LPL Financial (LPL), a registered inv estment advisor and broker -dealer (member FINRA/SIPC). Insurance products are offered through LPL or its licensed affiliates.

Marketing 52

Marketing Marketing Economy Economics 52

Sara Grillo

DECEMBER 12, 2022

With over thirty years of financial services experience, Mike is an independent financial professional helping individuals and small business owners in providing unbiased insurance and investment strategies. He holds multiple FINRA licenses and he is associated with The Leaders Group, and independent broker-dealer. Charles King.

Financial Advisor 52

Financial Advisor Commission Clients Insurance 52

Tucker Advisors

AUGUST 9, 2021

What are the key points advisors need to beware of in order to be in compliance with the present definition/regulation regarding IRA rollovers? 16, 2021, “provides RIA firms with two options as relates to IRA rollovers: Provide only general investment education regarding rollovers. There is help out there for advisors.

Financial Advisor 52

Financial Advisor License Clients Insurance 52

Sara Grillo

SEPTEMBER 26, 2022

I do believe it should be different regulated differently from portfolio management, which is the typical definition of the registered investment advisor, but that it shouldn’t be the CFP Board that is controlling the regulatory environment for financial planners.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

ClearMoney

DECEMBER 14, 2021

Discount rates : The internal rate of return required such that the present value of expected future cash flows earned from a security is equivalent to its current market price. Drawdown : A decline in the value of an investment. These entities are Dimensional Fund Advisors LP, Dimensional Fund Advisors Ltd.,

Investing 52

Investing Investments Commission Distribution 52

ClearMoney

DECEMBER 5, 2021

Discount rate: The rate of return that determines the present value of a company’s expected future cash flows. Dimensional Hong Kong Limited is licensed by the Securities and Futures Commission to conduct Type 1 (dealing in securities) regulated activities only and does not provide asset management services. Dimensional Japan Ltd.,

Government 52

Government Commission Economics Distribution 52

ClearMoney

DECEMBER 5, 2021

Discount rate: The rate of return that determines the present value of a company’s expected future cash flows. These entities are Dimensional Fund Advisors LP, Dimensional Fund Advisors Ltd., Dimensional Ireland Limited, DFA Australia Limited, Dimensional Fund Advisors Canada ULC, Dimensional Fund Advisors Pte.

Government 52

Government Commission Economics Distribution 52

The Big Picture

APRIL 25, 2023

So, Brian is not a stranger to me, and we have some shared financial interests, but the reason I wanted to bring him in here is there are few people in the industry who have a better perch by which to look at the world of registered investment advisors, broker-dealers, all of the changes that are taking place in the space.

Compliance 159

Compliance Clients Wealth Management Management 159

ClearMoney

FEBRUARY 22, 2022

9Data presented in the Growth of $100,000 example is hypothetical and assumes reinvestment of income and no transaction costs or taxes. The exhibit is presented for illustrative purposes only and is not indicative of any investment. Arnott, “Tactical Asset Allocation: Don’t Try This at Home,” Morningstar, September 20, 2021.

Asset Allocation 52

Asset Allocation Commission Portfolio Assets 52