Skip navigation
Menu
Trusts & Estates
Investment

Who Are These People?

RIAs Wirehouse Reps Obligation to Clients Fiduciary duty to act in clients' best interests at all times Can put his firm's interests first, as long as his recommendation is for the client Compensation Model Fee-based or asset-based Fee-based or commission-based Disclosure Must tell clients of any and all fees received as compensation for their services Disclosure rules are governed by a variety of
Resources
Trusts & Estates Latest Issue
Subscribe to Trusts & Estates Premium Content
Trusts and Estates Digital Edition Archive
About Trusts & Estates

RIAs Wirehouse Reps
Obligation to Clients Fiduciary duty to act in clients' best interests at all times Can put his firm's interests first, as long as his recommendation is “suitable” for the client
Compensation Model Fee-based or asset

All access premium subscription

Please Log in if you are currently a Trusts & Estates subscriber.


If you are interested in becoming a subscriber with unlimited article access, please select Subscription Options below.


Questions about your account or how to access content?


Contact: [email protected]

Subscribe

TAGS: Investment Archive
Hide comments

More information about text formats

Comments

  • Allowed HTML tags: <em> <strong> <blockquote> <br> <p>

Plain text

  • No HTML tags allowed.
  • Web page addresses and e-mail addresses turn into links automatically.
  • Lines and paragraphs break automatically.
Publish
Related