Is a Hybrid Model Right for You?

Ortale, Anthony
March 2010
Journal of Financial Planning;Mar/Apr2010 Practice Management, p10
Academic Journal
The article provides information about a dually registered or hybrid adviser model in the U.S. It specifies that it offer fee-based products to some customers and brokerage-based solutions to others remaining within confines of a seamless and consolidated environment. It notes that this adviser is registered with Financial Industry Regulatory Authority (FINRA) through an affiliated broker-dealer and with the Securities and Exchange Commission. It mentions that the driving force of this model is flexibility and this approach may be appealing to advisers who want to offer a holistic investment profile.


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