Stock Brokers Details
Professional titles similar to that of stockbroker include investment advisor, and financial advisor. A "financial advisor" may or may not be a stockbroker, since some Series 6 licensed individuals (who are prohibited from selling stock) go by that title. An "investment advisor", registered investment advisor,
or investment advisor representative has training and capabilities
similar to that of a stockbroker, but different licensing and different
regulatory oversight. Many individuals hold both licenses, and might
typically manage commission-based accounts as a stockbroker and
fee-based accounts as an RIA investment advisor, or "IAR" investment advisor representative.
Stock Brokers
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