What To Do If Your Investment Professional Has a Customer ...

Client Conversation Center | Russell Investments

How can you best engage your clients? Authentically ask, listen, and empathize. When navigating uncertain environments, many clients simply want to have human, ...

Making a Complaint A Guide for Investors - IIROC

If you believe your investment firm or advisor may have broken IIROC's ... If you have a customer service complaint, for example: • Difficulty getting ...

Key Questions Every Investor Must Ask Before Taking on a New Client

How involved does the client want to be in developing their financial plan and investment strategy? How much discretion will the advisor have in ...

Financial Advisor Resources for Client Conversations - BlackRock

Advisors often find that client conversations about market performance, retirement, and other life events are more effective when they have the right resources.

Are They Registered? - Canadian Securities Administrators

Being an informed investor is your best defence against investment fraud. Share these tips with friends and family, and remember when in doubt, contact your ...

How to choose a financial advisor

It's not enough that someone else can return your phone call. You want to know that others in the firm are as familiar with your advisor's ...

Plan and Invest with Personal Advisors - Chase Bank

Our team of advisors will always act in your best interest so you can be confident that any advisor you work with is committed to prioritizing your financial ...

Do I need a financial advisor? When to consider getting one - Bankrate

Are you a fiduciary? A fiduciary is someone who puts the needs of their client above everything else. If you're looking for someone to always ...

Financial Advice - Vanguard Personal Advisor Select

At the end of the guide, you'll have the option to request a call to ask more detailed questions about our advisory services. See how we can help ...

Financial Advisors | Investment Advisor - Wells Fargo Advisors

Bringing a candid, unbiased perspective, an advisor can provide support when markets are volatile or if you stray from your goals. Two women talking. Sound ...

Understanding the Role of an Investment Advisor

Registered investment advisors have a fiduciary obligation, meaning that they absolutely must act in the best interest of their client. This is ...

12 ways an excellent financial advisor adds value

When choosing a financial advisor, make sure they are a fiduciary, the highest standard of client care in the financial world. Helps you ...

Broker-Dealer Investment Advisor FAQs - Virginia SCC

8. Do I have to retake the series 66 and 7 or 65 examinations over as an investment advisor representative if the examination result is over 2 ...

How Change Your Financial Advisor: When To Move, Costs, and Tips

You can minimize the tax consequences of changing advisors by transferring your assets “in kind.” Instead of having your old advisor sell everything, you may ...

Investment Advisers and Investment Adviser Representatives | DORA

The SEC does not license IARs at the federal level. Investment Advisor Registration Depository (IARD) Information. IARD is the electronic filing system that ...

Broker-Dealers vs. Investment Advisors | Charles Schwab

This is when a financial professional suggests a client buy, sell, or hold a security. Both investment advisors and broker-dealers can make recommendations, but ...

What Is Financial Advisor Malpractice?

That means financial advisors must consider the specific goals and needs of each individual client before recommending investments. A financial ...

7 Powerful Questions To Ask a Financial Advisor in the First Meeting

Alternatively, what if their Net Promotor Score® exceeded 80 (January 2023 client survey) like our firm, Covenant Wealth Advisors? You can ...

Information for Investors | FAQs | BNY Pershing

If you have additional questions about how to go paperless please contact your advisor. Who can I talk to about my account? Pershing is a business to business ...

Why Hiring an Investment Professional is a Good Idea | Extraco Banks

For example, if you have $500 to ... A professional investment advisor will provide the confidence to know that your investments are safe.