Financial professionals can provide a variety of indispensable services to investors. Depending on their qualifications and areas of expertise, professionals can help you craft a personalized investment strategy, financial plan, or estate plan, identify specific investments and devise a tax plan for your
portfolio, and execute trades.
The level of service you want or need is a personal decision. For instance, perhaps you enjoy doing a lot of your own investment research and portfolio planning, and are looking for a broker with whom to discuss potential investments and to execute your trades. On the other hand, maybe you’re seeking someone to collaborate with you on a complete financial plan. It’s up to you.
Whatever you decide, it’s important to find someone with the right track record, credentials, and experience working with clients with needs similar to your own. Just as important, you want to choose someone with whom you can build a collaborative and trusting relationship.
Brokers are your link to the financial markets. Learn how to choose the level of service that’s right for you, review your statement, and what your rights and responsibilities are as a brokerage client.
If you’re looking for help with all aspects of your investment plan, there’s no substitute for building a long-term, collaborative relationship with a financial adviser.
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broker/adviser distinction Confused about the differences between brokers and planners, registered representatives and registered investment advisers? Understanding what these professional titles mean can help you identify the right type of professional for your needs.
