Chartered Financial Consultant (ChFC) You can also use theFINRA BrokerCheckto look up advisors or firms and find out if they've had any disciplinary actions or complaints filed against them. The bottom line A financial advisor can offer you expert advice and ongoing financial management, but th...
Are you looking to find the best online broker to invest in shares, funds, and other assets? Our guide covers all you need to know.
“It’s like dating — sometimes it just comes down to chemistry,” says Herman Chan, an associate broker and Realtor with Golden Gate Sotheby’s International in Berkeley, California. “If everything checks out, but you just don’t vibe with that person, don’t go with them. There are...
Ex-Broker Says JPMorgan Concocted Grievances ; Complaints Attributed to Clients Hurt Efforts by Ex-Broker to Find New JobClients of the broker, Johnny Burris, say a JPMorgan Chaseemployee wrote the complaints...Popper, Nathaniel
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Dispute resolution- Provides a route for customers to file complaints. Transparent regulatory history- Provides a public record of regulatory actions taken against the company, potentially providing valuable insight into the culture and integrity of the broker. ...
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TheSecurities and Exchange Commissionrequires most financial advisors to operate under the fiduciary standard, but there areexceptions. Certain advisors — including those employed by broker-dealers — can operate under the less rigorous "suitability standard," which requires them to make recommendation...
Broker’s Fees – You should agree on this in advance, and they must be in writing. These fees are also non-refundable with most policies. You can generally avoid or minimize them by doing your own research with online comparison tools. ...