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The Fiduciary Standard, CFP® Professionals & Commissions Don't Mix Well

Created on Wednesday, 01 October 2014. Posted in content/blog

... FA who is “fee-only” and cannot legally accept commissions. Be sure that the FA is a “pure” advisor and not dual-registered as a stockbroker too.  An FA who is “fee-based” can sell you products for commissions.  ...

Is my Financial Advisor a Fiduciary or a Stockbroker?

Created on Tuesday, 14 May 2013. Posted in content/blog

Written by Ethan S. Braid, CFA - March 2013   Is my Financial Advisor a Fiduciary or a Stockbroker?   What is the fiduciary duty and why is that important?   The fiduciary duty ...

How do Financial Advisors get Paid?

Created on Thursday, 18 October 2012. Posted in content/blog

Written by Ethan S. Braid, CFA on 8 - 05 - 2012 How do Financial Advisors get paid?    For over a decade, I worked as a stockbroker (my card said financial advisor) at two of the largest Wall Street ...

Conflicts of Interest in the Investment World

Created on Sunday, 22 January 2012. Posted in content/blog

... advisory services (wrap accounts).  Advice from their salespeople (also called stockbrokers and financial advisors) is typically considered incidental to the sale of products they are promoting or helping ...

Structured Products - Stay Away!

Created on Friday, 02 December 2011. Posted in content/blog

Structured Products – Stay Away!   What are structured products? As I write this memo, the major investment banks and the legions of stockbrokers they employ are pushing structured products out onto ...

Our Clients

Created on Monday, 07 November 2011. Posted in content/about

... assets, and find yourself unable to confidently answer any of the following questions, we would be happy to speak with you. Common Questions Is my advisor a fiduciary or a stockbroker? Are ...

HighPass Asset Management

Created on Tuesday, 04 October 2011. Posted in content/main

We are an independent, fee-only, registered investment advisory firm with a fiduciary duty to the clients we serve. FREE FIDUCIARY STANDARD REVIEW Learn the differences between a fiduciary & a stockbroker. ...

blog

Created on . Posted in Category

... advice from their salespeople (also called stockbrokers and financial advisors) is typically considered incidental to the sale of products they are promoting or helping you buy. In other words, broker ...