Brokers Are Salespeople, Not Financial Advisers

Does your broker have your best interest in mind? Find out why you may be the only one looking out for your money.

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  • Affinity Marketing: Large Brokers Say No to Costco but Not to Affinity Programs
    Salespeople around the country heaved a huge sigh of relief ... and AmeriNet, a newly formed financial services company. But any celebration has surely been muted now that other, smaller brokerages have jumped into the void left when Washington state's ...
    03/16/2017 - 1:00 pm | View Link
  • AFR/CFA Report: Brokers, Insurers Say One Thing in Ads, Another Thing in Contracts
    The CFA/AFR review of prominent firms' websites did not find on these firms' websites any prominent reference that labeled their representatives and agents as salespeople. Instead, the firms have adopted titles for their financial professionals that ...
    01/21/2017 - 9:22 am | View Link
  • Report: Brokers Market Themselves as "Advisors" to the Public, But "Sales Reps" to the DOL
    “The answer to that question has multi-billion-dollar implications for millions of American workers and retirees who turn to financial professionals for help with their retirement investments. After all, people expect salespeople to look out for their ...
    01/18/2017 - 10:04 am | View Link
  • Kitces: Brokers, advisers and the 1% AUM convergence
    While some have discussed unbundling financial planning fees from AUM fees ... The fundamental point is simply that the distribution costs that investors once paid brokerage salespeople for investment products is slowly but steadily converging toward ...
    12/11/2016 - 9:49 pm | View Link
  • Podcast: 7 success traits of brokers, managers and team leaders (part 2)
    Learn each of your agents' "financial personality style" without judgment of it ... Great brokers, managers and team leaders know that teams are great, but true salespeople want to be held responsible individually They know that weak sales people want ...
    10/18/2016 - 11:40 pm | View Link
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  • Chapter 4735: REAL ESTATE BROKERS
    Chapter 4735: REAL ESTATE BROKERS. 4735.01 [Effective Until 4/6/2017] Real estate broker definitions. As used in this chapter: "Real estate broker" includes any ...
    03/24/2017 - 8:41 am | View Website
  • Real Estate Brokers and Salespeople Consumer Fact Sheet
    Licensed Brokers and Salespersons. Only licensed real estate brokers and salespersons can assist you with the purchase, sale, lease or exchange of real property.
    03/21/2017 - 8:05 pm | View Website
  • About DFI
    Information about what the Washington State Department of Financial Institutions does and who they regulate.
    03/19/2017 - 12:33 am | View Website
  • Selecting and Working with a Financial Professional
    Selecting and Working with a Financial Professional. More than likely you will work with a financial professional to invest in bonds. There are a variety of people ...
    03/18/2017 - 7:25 pm | View Website
  • What is Investment Counsel compared to other financial ...
    What is Investment Counsel compared to other financial service providers? Source: Investment Counsel Association of Canada, 2002: Choosing an investment advisor need ...
    03/18/2017 - 5:45 pm | View Website
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