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.

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