Series 63: Broker-Dealer Vs. Investment Adviser Suitability

Taken from our Series 63 Online Guide

Broker-Dealer vs. Investment Adviser Suitability

Investment advisers have a fiduciary duty to their clients, which requires them to put their clients’ interests before their own

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David Latham, Butler Snow Advisory Services, Ridgeland, MS

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Idette Campos, Licensed Personal Banker & Small Business Specialist, JP Morgan Chase, Chula Vista, CA