The training released by the SEC, FINRA and NASAA is intended to help firms and financial services professionals comply with the 2018 Senior Safe Act, and lists a number of 'red flags' that should raise advisors' and brokers’ suspicions.
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Jun 16, 2021
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Advisor Denika Tokunaga’s family was impacted directly by the racial wealth gap in inner city Baltimore. She opens up about fighting to overcome her circumstances and change her life’s path.
Some of these ads have stood the test of time, others... not so much.
The recent controversy among Prince Harry, Meghan Markle and the royal family showcases the need for advisors to evolve.
The multiday program will include the traditional WealthStack and Inside ETFs events, as well as RIA EDGE, designed for executives and advisors at growth-oriented registered investment advisory firms.
According to the commission, Intervest International failed to disclose that more affordable, but otherwise identical, fund alternatives to one advisor's recommendations were available for clients.
It's imperative to embark on due diligence with clarity about your end game.
But also, like the royal family, never say never.
