Sentences with phrase «provided by the financial adviser»
Both the 401 (k) plan and the service provided by the financial adviser are provided at no cost to associates.
http://realtormag.realtor.org/ Not exact matches
Moreover, financial institutions and advisers who do not provide impartial advice as required by the Rule and PTEs would violate the prohibited transaction rules of the Code.
Provided by the Financial Industry Regulatory Authority (FINRA), BrokerCheck is a free tool to help investors research the professional backgrounds of current and former FINRA - registered brokerage firms and brokers, as well as investment adviser firms and representatives.
Links on this website to appearances and articles by Richard Bernstein, whether in the press, on television or otherwise, are provided for informational purposes only and in no way should be considered a recommendation of any particular investment product, vehicle, service or instrument or the rendering of investment advice, which must always be evaluated by a prospective investor in consultation with his or her own financial adviser and in light of his or her own circumstances, including the investor's investment horizon, appetite for risk, and ability to withstand a potential loss of some or all of an investment's value.
From that initial focus on financial planning, we expanded our efforts to include holding brokers to a fiduciary standard when they hold themselves out as advisers or as providing financial planning, which had become quite common by the 1990s.
They're creating websites using the same algorithm - based asset management strategies employed by human financial advisers to provide a wide range of fully automated services at a fraction of the cost.
I wrote a blog on how to find a financial adviser and I recommend they start by setting up a conversation with a fee - based adviser who can provide a fresh eye on their circumstances.
By using the card, UBS hopes to allow advisers to provide guidance about their customers» spending and other financial decisions.
The services and products provided by PIMCO (Schweiz) GmbH are not available to individual investors, who should not rely on this communication but contact their financial adviser.
We do this by providing you with software that replaces a highly paid financial adviser and an arsenal of mutual funds.
Check the financial services guide provided by your adviser to find out more about the products they can advise on.
In - house products are products that are provided by a related party, such as the bank or other financial institution the adviser is employed by.
Financial adviser: A person or authorised representative of an organisation licensed by ASIC to provide advice on investing, superannuation, retirement planning, estate planning, risk management and insurance.
About one - quarter of current non-users indicate they are likely to start offering one of three types of advice: access to a financial adviser (27 %), one - on - one advice provided by an independent third party (25 %) and online investment models provided by the plan provider (23 %).
A financial planner (also known as a financial adviser) is a person or authorised representative of an organisation, licensed by ASIC, to provide advice on some or all of these areas of your finances: investing, superannuation, retirement planning, estate planning, risk management, insurance and taxation.
It is also used by financial advisers to provide centralised reporting and flexibility which may allow the investor to save costs.
In both instances, these services or products may include: company financial data and economic data (e.g., unemployment, inflation rates and GDP figures), stock quotes, last sale prices and trading volumes, research reports analyzing the performance of a particular company or stock, narrowly distributed trade magazines or technical journals covering specific industries, products, or issuers, seminars or conferences registration fees which provide substantive content relating to eligible research, quantitative analytical software and software that provides analyses of securities portfolios, trading strategies and pre / post trade analytics, discussions with research analysts or meetings with corporate executives which provide a means of obtaining oral advice on securities, markets or particular issuers, short - term custody related to effecting particular transactions and clearance and settlement of those trades, lines between the broker - dealer and order management systems operated by a third party vendor, dedicated lines between the broker - dealer and the investment adviser's order management system, dedicated lines providing direct dial - up service between the investment adviser and the trading desk at the broker - dealer, message services used to transmit orders to broker - dealers for execution, electronic communication of allocation instructions between institutions and broker - dealers, comparison services required by the SEC or another regulator (e.g., use of electronic confirmation and affirmation of institutional trades), exchange of messages among broker - dealers, custodians, and institutions related to a trade, post-trade matching of trade information, routing settlement instructions to custodian banks and broker - dealers» clearing agents, software that provides algorithmic trading strategies, and trading software operated by a broker - dealer to route orders to market centers or direct market access systems.
In both instances, these services or products may include: company financial data and economic data (e.g., unemployment, inflation rates and GDP figures), stock quotes, last sale prices and trading volumes, research reports analyzing the performance of a particular company or stock, narrowly distributed trade magazines or technical journals covering specific industries, products, or issuers, seminars or conferences registration fees which provide substantive content relating to eligible research, quantitative analytical software and software that provides analyses of securities portfolios, trading strategies and pre / post trade analytics, discussions with research analysts or meetings with corporate executives which provide a means of obtaining oral advice on securities, markets or particular issuers, short - term custody related to effecting particular transactions and clearance and settlement of those trades, lines between the broker - dealer and order management systems operated by a third party vendor, dedicated lines between the broker - dealer and the investment adviser's order management system, dedicated lines providing direct
any other legal practitioner (including, without limitation, solicitors, barristers and foreign lawyers), accountant, or other financial or professional adviser representing the client in connection with those legal services and advice being provided to the client by Deacons;
People providing financial advice in regard to digital tokens need to be «authorized to do so... by a financial adviser's license, or be an exempt financial adviser, under the FAA.»
Personal Finance Society yourmoney is a website provided by the Personal Finance Society, the professional body for financial advisers and others that work in financial services.