Form CRS: Brokers and Investment Advisers – Which is Right For Me?

July 14, 2020

What are the different services brokers and advisers offer and which is right for me?

The services you receive will depend on your agreement with the broker or adviser.
Brokers provide services that are generally more transactional and time-specific. A typical broker:

Advisers provide services that are generally more focused on your portfolio or account over time. A typical adviser:

For more information, check out this video from SEC Chairman Jay Clayton

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