Related professions[edit]
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—have that as their professional 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 RIAinvestment advisor, or investment advisor representative (IAR).
The Financial Industry Regulatory Authority (FINRA) provides an online tool designed to help understand professional designations.[12]
See also[edit]
 | Wikimedia Commons has media related to Stockbrokers. |
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