Wednesday, November 14 -- 6:00 pm
Stockbroker, registered representative, investment adviser, financial planner
What do all these titles mean?
- Learn what these job titles mean and the types of services they provide.
- All investment professionals are required to be registered with the Pennsylvania Securities Commission. Find out how to confirm this and obtain a free background check.
- Learn the 'suitability obligation' of a registered representative/stockbroker and the 'fiduciary responsibility' of an investment adviser representative toward their clients.
- Commission? Fee only? Percentage of assets under management? Understand the compensation methods.
Registration requested. To register, go to www.delcolibraries.org or call Susan Purcell at 610-891-8622.
Refreshments will be served.