6 Questions to Ask When Choosing an IB-D

Buttell, Amy E.
April 2009
Journal of Financial Planning;Apr2009 Independent Broker-Dealer, p4
Academic Journal
The article advises on issues surrounding the hiring of the correct independent broker-dealer, a financial planner and investment adviser not working for a larger financial services provider. The author of the article suggests that would-be clients of an independent broker-dealer investigate several area of the business before agreeing to representation. Factors to be examined include the financial stability of the adviser, the degree of support offered and the required schedule of fees and payments.


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