Tag: Independent Wealth Management

FEATURE
Episode 11 – Understanding Compliance – with guest John Cataldo

Episode 11 – Understanding Compliance – with guest John Cataldo

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Compliance departments can often get a bad reputation and be seen as the bad guys within a company. In reality, they are ensuring that all communication made within the organization stays within set regulations. 

In this episode, Matt Ackermann is joined by John Cataldo, chief legal officer with Integrated Partners, and they dive into compliance. John assists you in understanding what it is that compliance is needed for and how the relationship works between compliance and an advisor. 

In this episode, you will learn:

  • The role of the compliance department 
  • Common mistakes that John has seen advisors make when it comes to compliance  
  • Changes that are likely to happen with the change in administration  
  • What advisors could be doing to stay up to date with compliance regulations  
  • And more!

Tune in now to understand what the job of compliance is and how the work they do assists the work of advisors. 

Resources: Matt Ackermann | Integrated Partners | John Cataldo

Content in this material is for general information only and not intended to provide specific advice or recommendations for any individual. All performance referenced is historical and is no guarantee of future results.  Securities offered through LPL Financial, Member FINRA/SIPC. Investment advice offered through Integrated Partners, a registered investment advisor and separate entity from LPL Financial.

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FEATURE
Episode 10 – Long-Term Impacts on Independent Advisors – with guest Brian Hamburger

Episode 10 – Long-Term Impacts on Independent Advisors – with guest Brian Hamburger

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The COVID-19 Global Pandemic is something that nobody saw coming, but it is causing long-term impacts on advisors within the independent wealth management space. 

In this episode, Matt Ackermann sits down with Brian Hamburger as they discuss the outside forces impacting independent advisors. Matt and Brian discuss the changes that have occurred within the independent space and how those changes are going to change the independent movement going forward. 

In this episode, you will learn:

  • How COVID initially impacted the independent space and the long-term effects of the pandemic 
  • Current opportunities within the independent wealth management sector 
  • Lessons that advisors can learn from the impact of the global pandemic
  • The obstacles and hazards that exist when transitioning to be independent  
  • And more!

Tune into this episode to understand how the long-term impacts are likely going to change the independent space moving forward. 

Resources: Matt Ackermann | Integrated Partners | Brian Hamburger | MarketCounsel Consulting | Hamburger Law Firm 

Content in this material is for general information only and not intended to provide specific advice or recommendations for any individual. All performance referenced is historical and is no guarantee of future results.  Securities offered through LPL Financial, Member FINRA/SIPC. Investment advice offered through Integrated Partners, a registered investment advisor and separate entity from LPL Financial.

Brian Hamburger is the founder and CEO of MarketCounsel Consulting and is a separate entity and not affiliated with Integrated Partners and LPL Financial.

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