Investment Advisors and Brokers: Big Differences

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There are a lot of differences between Register Investment Advisors and brokers. Although the brokerage community has done their best to blur the lines, this presentation should outline the clear differences that exist.

Published in: Economy & Finance, Business
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Investment Advisors and Brokers: Big Differences

  1. 1. Mullooly Asset Management Podcast April 10, 2013Mullooly Asset Management April 2013
  2. 2. What is a Fiduciary?What is a Fiduciary Obligation? Mullooly Asset Management April 2013
  3. 3. Who Has A Fiduciary Obligation toTheir Clients?Brokers?Recommendations must meet a presumption of suitabilityInvestment Advisors?Recommendations must be suitable AND prudent Mullooly Asset Management April 2013
  4. 4. Brokers, Also Known As…Account Executives, Stockbrokers, Customers MenFinancial ConsultantsInvestment CounselorsFinancial Advisors Mullooly Asset Management April 2013
  5. 5. None of the securities mentioned in this (or any) podcast orvideo represent past specific recommendations of MulloolyAsset Management.This video is NOT a recommendation to buy or sell any ofthe securities mentioned here.If you’re relying on a podcast for investment advice, you arelikely making a huge mistake.We strongly urge our listeners to consult with theirinvestment advisor before they make a decision to buy orsell any investment. Mullooly Asset Management April 2013
  6. 6. Mullooly Asset Management, LLC support (at) mullooly (dot) net 732-223-9000 www.mullooly.net Mullooly Asset Management April 2013
  7. 7. Mullooly Asset Management, LLC support (at) mullooly (dot) net 732-223-9000 www.mullooly.net Mullooly Asset Management April 2013

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