Market Linked CD’s and Structured Notes
SEC issues Cease-And-Desist Order against Wells Fargo Advisors. I recommend investors read the order as a good primer regarding the workings of Market Linked Investments (MLI’s) including Structured Notes and CD’s.
Online Broker Commission and Margin Rates Comparison Grid
Check out this Cost Comparison of Commission and Margin Rates at Interactive Brokers (IB), E*Trade, Fidelity, Scottrade, Schwab, TD Ameritrade and Vanguard. Talk to Successful Portfolios’ team of expert Certified Financial Planners and Chartered Financial Analysts. We’ll help you choose the best online broker to suit your investment management objectives.
Ten Questions to Ask Your Financial Advisor (And Our Answers)
We recommend that you ask these 10 important questions before selecting a financial planner or investment advisor. Get your answers in writing.
What is a SEC Form ADV Part 2 Brochure? Sounds boring but it’s not. It’s an informative Client Brochure.
If you do business with or are considering doing business with a Registered Investment Advisor Firm (RIA), that RIA should give your their official Form ADV Part 2 Brochure. It’s sometime referred to as the “Client Brochure”. You should read it. It’s a plain language disclosure document that the RIA must submit to the Securities and Exchange Commission (SEC) annually. Download Successful Portfolios April 2017 Client Brochure.
