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A broker (Series 7) may also be a financial planner. Any advisor can say they are a financial planner; they do not have to hold the CFP (Certified Financial Planner) designation to do so. A financial adviser may create financial plans for clients or sell financial products, or a combination of both. They may also provide insight on savings. [3]
Registered investment adviser firms receive compensation in the form of fees for providing financial advice and investment management. They are required to act as a fiduciary. This is very different from broker-dealers and their representatives, who provide recommendations for a commission. Broker-dealers and their representatives are not ...
Traditional financial advisors, such as brokers at a financial services firm, are only legally required to make suitable recommendations for clients, based on their investment objectives and risk ...
The term financial advisor is a generic one that can encompass many different financial professionals, although it most commonly refers to brokers (individuals or companies that buy and sell ...
A financial fiduciary need not cost more than a financial advisor. Financial advisors may be paid a flat fee per job, an hourly rate or a percentage of assets under management. In contrast, a ...
In most countries they are regulated as a broker or broker-dealer and may need to hold a relevant license and may be a member of a stock exchange. They generally act as a financial advisor and investment manager. In this case they may also be licensed as a financial adviser such as a registered investment adviser (in the United States).
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