This podcast discusses fiduciary obligations and who has them. A fiduciary obligation requires recommendations to be both suitable and prudent, while brokers only need recommendations to meet a presumption of suitability. The podcast warns listeners not to rely on it alone for investment advice and to consult an advisor before making investment decisions.

1. Mullooly Asset Management Podcast
April 10, 2013
Mullooly Asset Management April 2013

2. What is a Fiduciary?
What is a Fiduciary Obligation?
Mullooly Asset Management April 2013

3. Who Has A Fiduciary Obligation to
Their Clients?
Brokers?
Recommendations must meet a presumption of
suitability
Investment Advisors?
Recommendations must be suitable AND prudent
Mullooly Asset Management April 2013

4. Brokers, Also Known As…
Account Executives, Stockbrokers, Customers Men
Financial Consultants
Investment Counselors
Financial Advisors
Mullooly Asset Management April 2013

5. None of the securities mentioned in this (or any) podcast or
video represent past specific recommendations of Mullooly
Asset Management.
This video is NOT a recommendation to buy or sell any of
the securities mentioned here.
If you’re relying on a podcast for investment advice, you are
likely making a huge mistake.
We strongly urge our listeners to consult with their
investment advisor before they make a decision to buy or
sell any investment.
Mullooly Asset Management April 2013

6. Mullooly Asset Management, LLC
support (at) mullooly (dot) net
732-223-9000
www.mullooly.net
Mullooly Asset Management April 2013

7. Mullooly Asset Management, LLC
support (at) mullooly (dot) net
732-223-9000
www.mullooly.net
Mullooly Asset Management April 2013