Blisk financial group review license#
Blisk financial group review professional#

Where is Brian LOW Financial Group headquartered? Which states do its financial advisors serve?īrian LOW Financial Group is headquartered in Baton Rouge, LA and currently serves in 1 state: Louisiana. Financial advisors help you achieve your life goals, e.g., saving for retirement, by creating a comprehensive financial plan and managing your investment portfolio (e.g., stocks, ETFs, mutual funds, bonds).įinancial planning services can include tax planning, estate planning, retirement planning, or life-based event planning such as saving for college, getting married, purchasing a home, paying down debt, or planning an inheritance. What services can Brian LOW Financial Group provide?Īs a financial advisory firm, Brian LOW Financial Group can provide a variety of financial planning services for Americans. Ultimately, to understand the underlying costs of advisory services, we always recommend asking for an itemized fees breakdown and reading the firm's ADV Part 2 Brochure (Item 5, 'Fees and Compensation'). Catchphrases, including 'fee-only,' can be helpful however, Americans often get confused with competitors promoting 'fee-based' in response. Unfortunately, there is no single, uniform pricing standard for working with a financial advisor. Regulation Violations - Other Regulatory Agencies Order Entered - Other Regulatory Agencies

Blisk financial group review license#

Checks take place monthly.Īttorney/Accountant Authorization Revocation – SROīusiness License Revocation - Other Regulatory Agenciesįalse Statements or Omissions - Other Regulatory Agencies Our system found no other conflict questions to ask.

Blisk financial group review professional#

In short, any financial professional should disclose all positions they hold (or have sold short) that they will also be recommending to you. For example, front running is when a financial professional buys or sell securities ahead of their client. While this often can be seen as 'eating your own cooking,' there are several inherent conflicts that can arise. Which securities does Brian LOW Financial Group trade for itself that it will also be recommending to me?īrian LOW Financial Group has marked in their disclosures that they trade recommended securities. Side-by-side management can create an incentive for the advisor to favor the larger funds, potentially leading to unequal trading costs and unfavorable trade executions for their retail clients.ĭoes Brian LOW Financial Group accept soft-dollar benefits? How do these benefits affect the firm’s selection of a broker-dealer partner?īrian LOW Financial Group receives soft-dollar benefits that could incentivize them to push trades through broker-dealers that provide advantages to the firm instead of through broker-dealers that could provide the best trade execution for their clients. This typically occurs when firms manage mutual funds or hedge funds alongside smaller retail accounts. This could be detrimental to a client during down markets.ĭoes Brian LOW Financial Group perform side-by-side management? How does Brian LOW Financial Group mitigate conflicts that arise from managing accounts with differing fee structures? For instance, research has shown that mutual funds that use incentive fees take on more risk that funds that do not, and tend to double down and increase their risk following a poor performance. While this may seem like an attractive compensation structure to ensure your advisor is making your money work for you, often, the managers of those products are incentivized to take inappropriate risks to beat their performance benchmark. When performance-based fees are charged, the financial advisor is paid for outperforming a benchmark, typically an index. This arrangement creates a conflict where the firm and its representatives may be motivated to insure clients with products, including annuities and life insurance, that generate high sales commissions when lower-cost alternatives may exist.ĭoes Brian LOW Financial Group offer products that have performance-based fees, or does it accept performance-based fees? Will any of my assets be invested in those products?

How does Brian LOW Financial Group approach insurance sales? What conflicts do I need to be made aware of?Ĭurrently Brian LOW Financial Group actively practices as insurance brokers or agents, or they are affiliated with an insurance company or agency. Some firms receive these fees as payments, which creates an incentive to promote them.

Learn more.ĭoes Brian LOW Financial Group offer mutual funds that have 12b-1 fees?ġ2b-1 fees increase the total annual cost of owning a mutual fund with no guarantee of higher returns. Checks take place monthly.Īfter checking the regulatory records of Brian LOW Financial Group, our system has identified the following question(s) to ask. After checking the disciplinary records of Brian LOW Financial Group, our system found no disciplinary questions to ask.