• Deborah Nason

WHAT PEOPLE DON'T KNOW #4. PART II


DIFFERENT TYPES OF PROFESSIONALS CALL THEMSELVES ADVISORS

Before I define these 4 types, I want to introduce you to the source I used for this and much of the information in my book: FINRA – the Financial Industry Regulatory Authority. www.FINRA.org. This is a non-governmental, not-for-profit organization authorized by Congress to protect America’s investors. Some of what FINRA does includes: • writing and enforcing rules governing the activities of all registered broker-dealer firms and registered brokers in the U.S. • examining firms for compliance with those rules; • fostering market transparency; and • educating investors.

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