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FINRA Advises Investors on How to Pick A Financial Planner

FINRA released an investor education podcast advising investors on what they need to know about financial planners.

In an investor education podcast, FINRA identified three things to consider in seeking out a financial planner: (i) who they are (their backgrounds); (ii) who regulates them; and (iii) what services they offer, including their areas of focus.

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Tags

Regulated Activities
Advice and Fiduciary Suitability and Consumer Protection
Regulated Entities
Traders / Investors / Counterparties
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
FINRA / MSRB / SEC Exchanges / SIPC / Accountants
Sub-Author
FINRA