Achieving Goals As a Stockbroker

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Achieving Goals As a Stockbroker – This is a place for the community to provide tips and advice on Achieving Goals As a Stockbroker. This topic was created by J Ocelyne Zulerion and the tips are provided by the community. The tips you add here can be your own or referred from another site. The best tips are then ranked at the top when up-voted by members of the community.

Tip 1 - A Stockbroker Should Not Be Able To Call Himself A Portfolio Manager Or Investment Advisor

Published: 9 years, 1 month(s) ago | Submitted by Vtrlwolf | permalink

SEC Chairman Mary Jo White said in late February: "We will intensify our consideration of the question of the role and duties of investment advisers and broker-dealers with the goal of enhancing investor protection." Is a stock broker really a portfolio manager or an Investment Adviser? Not often. They are mostly just highly trained salesman trying to lure assets to their firm. Often they sell the products that give them the most income.
Tags: Bonds,Business,ETFs,Investing,Regulation,Stocks,Bank of America,CFA,CFP,Goldman Sachs,Joan E. Lappin CFA,Mary Jo White,Portfolio Managers,Registered Investment Advisors,SEC,SEC Speaks,Stock brokers

For further reading: http://www.forbes.com/sites/joanlappin/2014/02/28/a-stockbroker-should-not-be-able-to-call-himself-a-portfolio-manager-or-investment-advisor/ ^[1]

Tip 2 - How to Be a Stock Broker

Published: 9 years, 1 month(s) ago | Submitted by Ben De Boef | permalink

Did you just finish watching Wall Street? Well, being a stockbroker doesn't involve that much glitz and glam, but it's pretty awesome. A stockbroker is a financial adviser who counsels clients (corporations or individuals) on appropriate...
Tags: WikiHow, Be a Stock Broker, wiki, how to articles, how to instructions, DIY, tips, howto, learn, how do I

For further reading: http://www.wikihow.com/Be-a-Stock-Broker ^[2]