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Tag: FINRA

Dig Deeper Than CFP To Find Financial Planner

Watch this video on YouTube I have long recommended that consumers look for a Certified Financial Planning (CFP) certificant when shopping for a financial planner. But don’t stop there. A CFP is no guarantee that someone is a competent, ethical, fiduciary...

Use Resources to Check for Financial Adviser’s Past Misconduct

Watch this video on YouTube Shopping for a financial adviser you can trust has never been easy. The new Department of Labor rule requiring brokers to act in a fiduciary capacity when dealing with retirement plan assets has not made it any easier. The...