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DEFINITION
By Staff Reporters
SPONSOR: http://www.MarcinkoAssociates.com
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Buying or selling stocks requires access to one of the major exchanges, such as the New York Stock Exchange (NYSE) or the National Association of Securities Dealers Automated Quotations (NASDAQ). To trade on these exchanges, you must be a member of the exchange or belong to a member firm. Member firms and many individuals who work for them are licensed as brokers or broker-dealers by the Financial Industry Regulatory Authority (FINRA).
INSURANCE AGENT: https://medicalexecutivepost.com/2025/04/27/insurance-agents-v-brokers/
And so, a stockbroker executes orders in the market on behalf of clients. A stockbroker may also be known as a registered representative or investment advisor. Most stockbrokers work for a brokerage firm and handle transactions for several individual and institutional customers. Stockbrokers are often paid on commission, although compensation methods vary by employer.
Remember: SBs work for their firm and not the client. Stock brokers are not fiduciaries.
FINANCIAL ADVISOR: https://medicalexecutivepost.com/2025/04/01/financial-advisors-vital-critical-thinking-skills-to-master/
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Filed under: "Ask-an-Advisor", Financial Planning, Glossary Terms, Investing, Portfolio Management | Tagged: adviser, DOW, FINRA, insurance agent, investment advisor, NASDAQ, National Association of Securities Dealers Automated Quotations, New York Stock Exchange, NYSE, registered representative, SEC, stock broker | Leave a comment »
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