January 2018: How to Choose an Investment Firm

Just like Santa Claus, often times firms go by a multitude of names which can be very vague in the type of services they offer. In order to choose the investment professional that best suits you, it helps to have an understanding of the type of services their firm offers. Investment firms providing services to the average investor will probably be listed as a Brokerage Firm, Registered Investment Advisor and/or both, which is covered below, including who regulates each type of firm. Brokerage Firms (Broker-Dealer) A brokerage firm’s primary job is to buy and sell securities on behalf of their client base. Brokerage firms must register with the Securities & Exchange Commission (SEC), then the

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