However, it's possible to have dual registration as both a broker and fiduciary financial advisor, where generally they act as a non-fiduciary when providing investment advice and as a fiduciary ...

This means that a broker can legally put his or her own interest above yours when recommending financial products for your specific situation. Advisers (Fiduciary): RIAs are ethically and legally ...

These restrictions can be incredibly nuanced" because "the scope of a fiduciary role can be holistic or quite narrow, he adds. For instance, brokers are not legally held to the fiduciary standard ...

A fiduciary is someone who acts on behalf of ... This license is held by brokers who are contracted with dealers that broker products regulated by FINRA (hence the name broker-dealer, or BD).

But it’s not legally required to act as a fiduciary when operating in a broker-dealer capacity. Fidelity is a fiduciary when ...

"Fiduciary responsibilities traditionally have ... who work for registered investments advisory, or RIA, firms, broker-dealers or banks, Faustino says. "Their day-to-day responsibilities typically ...

You will get to grips with the fiduciary rule and its application to broker-dealers, investment advisors, banks, and insurance companies, as well as individuals working regularly with retirement ...