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Registered Representative of a Broker-Dealer, Private Client Services

While many people use the word broker generically to describe someone who handles stock transactions, the legal definition is somewhat different—and worth knowing. A broker-dealer is a person or company that is in the business of buying and selling securities—stocks, bonds, mutual funds, and certain other investment products—on behalf of its customers (as broker), for its own account (as dealer), or both. Individuals who work for broker-dealers—the sales personnel whom most people call brokers—are technically known as registered representatives.

For more information on our firm affiliation with Private Client Services, Member FINRA, SIPC call, or contact us at Executive Wealth Management today.

Reference: Brokers | FINRA.org. https://www.finra.org/investors/learn-to-invest/choosing-investment-professional/brokers

Check the background of this firm on FINRA’s BrokerCheck.