Financial Services Industry FAQ
Below is a list of Financial Services and Securities Industry Frequently Asked Questions (FAQs) .
NOTE: We will constantly be adding to and updating the information within this list of FAQs, so please make sure to bookmark this page and return often to see our newly added content.
FOR CONSUMERS:
CHOOSING THE RIGHT FINANCIAL ADVISOR or FINANCIAL PLANNER:
What Should Consumers Look for in a Qualified Financial Advisor or Financial Planner?
Why Is an Advisor’s Fiduciary Duty Important?
Why Are Financial Advisors Important?
How to Choose the Right Financial Planning Firm or Financial Advisor for You.
Why an Advisor Is Essential to a Comprehensive Financial Plan?
PROFESSIONAL DESIGNATIONS & CERTIFICATIONS:
What Professional Certifications Are Available for RIAs?
What Is a Certified Financial Planner (CFP)?
What Is a Chartered Financial Analyst (CFA)?
What Is a Chartered Financial Consultant (ChFC)?
What Is a Certified Fund Specialist (CFS)?
INFLUENTIAL COMPANIES & ORGANIZATIONS within the SECURITIES INDUSTRY:
What Is the Financial Industry Regulatory Authority (FINRA)?
What Role Does the SEC Have In Regulating RIAs?
What Is FINRA’s Role in Regulating RIAs?
What Is Charles Schwab Institutional?
What Is Fidelity Institutional Wealth Services?
What Is the Bureau of Labor Statistics?
FINANCIAL SERVICES INDUSTRY ASSOCIATIONS:
What Is the National Association of Personal Financial Advisors (NAPFA)?
What Is the American Academy of Financial Management (AAFM)?
What Is the Financial Planning Association (FPA)?
What Is the Securities Industry and Financial Markets Association (SIFMA)?
What Is the North American Securities Administrators Association (NASAA)?
What Is the Investment Management Consultants Association (IMCA)?
INVESTMENT OPTIONS:
Why Is Charitable Giving an Important Component of Estate Planning?
FOR FINANCIAL ADVISORS:
How to Become A Featured Advisor Within This Directory