NASAA Investor Advisory: It Pays to Understand the Different Roles of Financial Service Providers

The North American Securities Administrators Association ("NASAA") issued an investor advisory to remind investors of the importance of understanding the distinctions between the various types of financial professionals, and to provide basic information on their obligations to investors.

The advisory focuses on the following types of financial services professions:

• Broker-Dealer Agents
• Investment Adviser Representatives
• Financial Planners

The investor advisory also provides questions to ask your financial professional and warning signs to watch for. The advisory is part of NASAA's Informed Investor series.

Click here to view advisory in full (links externally to NASAA website).