Broker Check

Poster References

AdvisorHub. (2025, January 17). Advisors bring value to clients, and AI cannot replicate it. https://www.advisorhub.com/resources/advisors-bring-value-to-clients-and-ai-cannot-replicate-it/

Alvaredo, F., Atkinson, A. B., Piketty, T., & Saez, E. (2013). The top 1 percent in international and historical perspective. Journal of Economic Perspectives, 27(3), 3–20.

ArentFox Schiff. (2022, August 1). Does the SEC “Best Interest” Regulation go far enough? https://www.afslaw.com/perspectives/alerts/does-the-sec-best-interest-regulation-go-far-enough

Asset-Map. (2025, March 25). Will the financial advisor role be automated? https://www.asset-map.com/blog/will-financial-advisors-be-automated

Belabed, C. A. (2016). Inequality and the New Deal (IMK Working Paper 166-2016). IMK at the Hans Boeckler Foundation, Macroeconomic Policy Institute.

Bill Good Marketing. (2025, June 3). Will AI replace financial advisors? (The answer may surprise you). https://www.billgoodmarketing.com/resources/will-ai-replace-financial-advisors/

CFP Board. (n.d.). Code of ethics and standards of conduct regulation best interest comparing. Retrieved September 28, 2025, from https://www.cfp.net/-/media/files/cfp-board/standards-and-ethics/Compliance-Resources/CFP-Board-Code-and-Standards-and-Reg-BI-Guidance.pdf

CFP Board. (2024). 2024 CFP compensation study highlights. https://www.cfp.net/-/media/files/cfp-board/career-and-growth/2024-cfp-compensation-study_highlights.pdf

Chicago Partners Wealth Advisors. (2025, May 16). The impact of artificial intelligence on financial services in 2025. https://chicagopartnersllc.com/your-resources/wealth-blog/the-impact-of-artificial-intelligence-on-financial-services-in-2025/

Deloitte. (2025, March 24). AI is revolutionizing work. You need a human value proposition for the age of AI. https://www2.deloitte.com/us/en/insights/focus/human-capital-trends/2025/why-you-need-employee-value-proposition-for-age-of-ai.html

eMoney Advisor. (2025, April 10). How financial planners can get started with AI today. https://emoneyadvisor.com/blog/how-financial-planners-can-get-started-with-ai-today/

FINRA. (n.d.-a). 2121. Fair prices and commissions. Retrieved September 28, 2025, from https://www.finra.org/rules-guidance/rulebooks/finra-rules/2121

FINRA. (n.d.-b). Conflicts of interest. Retrieved September 28, 2025, from https://www.finra.org/rules-guidance/key-topics/conflicts-of-interest

FINRA. (n.d.-c). FINRA highlights firm practices from Regulation Best Interest preparedness reviews. Retrieved September 28, 2025, from https://www.finra.org/rules-guidance/key-topics/regulation-best-interest/preparedness

Investopedia. (2024, December 17). How can AI help financial advisors? https://www.investopedia.com/how-can-ai-help-financial-advisors-8385520

LPL Financial. (2025, March 25). How financial advisors can embrace AI in wealth management. https://www.lpl.com/join-lpl/why-choose-lpl/news-and-insights/embracing-ai-in-wealth-management-prospective-advisor-tips.html

McKinsey. (2025, January 28). Superagency in the workplace: Empowering people to unlock AI's full potential. https://www.mckinsey.com/capabilities/mckinsey-digital/our-insights/superagency-in-the-workplace-empowering-people-to-unlock-ais-full-potential-at-work

MindBridge. (2025, January 29). AI in financial planning: The CFO's guide to strategic decision-making. https://www.mindbridge.ai/blog/ai-in-financial-planning-the-cfos-guide-to-strategic-decision-making/

NVIDIA. (2025, February 5). AI pays off: Survey reveals financial industry's latest technological trends. https://resources.nvidia.com/en-us-cross-industry-briefcase/ai-in-financial-services-survey-2025

Omarova, S. T. (2011). The Dodd-Frank Act: A new deal for a new age? Cornell Law Faculty Publications. https://scholarship.law.cornell.edu/cgi/viewcontent.cgi?article=2488&context=facpub

Pew Research Center. (2024, July). Views of the American Dream.

Rapid Innovation. (2025, January 29). AI in financial planning 2025 ultimate guide | Wealth management. https://www.rapidinnovation.io/post/ai-in-financial-planning-use-cases-working-benefits-and-future

Select Advisors Institute. (2025, March 17). Unveiling the future of compensation benchmarking for financial advisors. https://www.selectadvisorsinstitute.com/our-perspective/insights/future-of-compensation-benchmarking-for-financial-advisors

Seward & Kissel LLP. (2025, August 29). SEC enforcement actions target inadequate disclosures on conflicts of interest by advisory firms and broker-dealers. JD Supra. https://www.jdsupra.com/legalnews/sec-enforcement-actions-target-3649087/

The World Economic Forum. (2025, March 17). Could AI ever replace human wealth management advisors? https://www.weforum.org/stories/2025/03/ai-wealth-management-and-trust-could-machines-replace-human-advisors/

Thompson Hine LLP. (2024, October 31). Overview of Regulation Best Interest and care obligations. https://www.thompsonhine.com/insights/overview-of-regulation-best-interest-and-care-obligations/

U.S. Bureau of Labor Statistics. (2024, May). Personal financial advisors: Occupational outlook handbook. https://www.bls.gov/ooh/business-and-financial/personal-financial-advisors.htm

U.S. GAO. (2025, May 19). Artificial intelligence: Use and oversight in financial services. https://www.gao.gov/products/gao-25-107197

U.S. Securities and Exchange Commission. (2019a, June 5). Form CRS relationship summary; Amendments to Form ADV (Release No. 34-86032; IA-5247; File No. S7-08-18). https://www.sec.gov/files/rules/final/2019/34-86032.pdf

U.S. Securities and Exchange Commission. (2019b, June 5). Regulation Best Interest: The broker-dealer standard of conduct (Release No. 34-86031; File No. S7-07-18). https://www.sec.gov/files/rules/final/2019/34-86031.pdf

Wallis, J. J. (1998). The impact of the New Deal on American federalism. In M. D. Bordo, C. Goldin, & E. N. White (Eds.), The defining moment: The Great Depression and the American economy in the twentieth century (pp. 201–241). University of Chicago Press.