Investment Planning License Retail 
Trade Brains
JULY 4, 2024
Nuvama Wealth Management: Forget glowing wealth advisors and generic investment plans. Nuvama is going to start its operations in Dubai (DIFC) where it recently received license approval. The company plans to use Dubai as their first go-to-market for offshore operations, rather than in Singapore. Industry P.E (TTM)
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. Matt Pruitt, CFP®, CFA®. Derek Robinett. Charles King.
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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. And so it actually turns out that away from the retail space, passive is even larger in the institutional space. 00:58:52 [Speaker Changed] Because Bezos departed and the company is a shell of the delightful retailer.
Sara Grillo
NOVEMBER 14, 2022
He is a flat fee advisor; not a licensed insurance agent. With annuities now being able to be offered in 401k plans, the playing field has changed. Fee only advisors can now purchase annuities for their clients without having to be licensed agents. Mettler says he does not have a securities license for this reason.
Sara Grillo
SEPTEMBER 12, 2022
” It brings to light the fundamental question of the role that institutions play in client outcomes, whether those institutions are truly putting the interests of the retail investor over those of their members, and the delicate balance between governance standards and the oppression of individual autonomy.
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