Broker Vs. Investment Advisor: What Are the Differences? Why Is It Important to You?

Both brokers and investment advisors are licensed professionals who assist investors with their financial
goals and objectives. Brokers are regulated by the Financial Industry Regulatory Authority (FINRA) while
investment advisors are regulated by either the Securities and Exchange Commission (SEC) or their home
state regulatory body, depending on the advisor’s level of assets under management. Although their roles
might seem similar to an outsider, investment advisors and brokers perform very different roles and
provide very different types of services in the delivery of financial services to investors.

Read More >
Sign Up For Our Round Table Newsletter
2018-10-10T20:33:28+00:00

About the Author:

Fran Hayes serves as the Senior Director of Strategic Relationships at Round Table Wealth Management.