Tag: registered representative

Do I Need a Broker?

The answer and the reasons behind the answer to this question have changed over the years. In order to manage a portfolio effectively you need...

Investor Protection from Unauthorized Withdrawals from Accounts

It’s a Brokerage Firm’s Duty to Protect Client Accounts from Unauthorized Withdrawals!  What are Unauthorized Withdrawals?  FINRA has warned member firms to protect investors against...

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