The Financial Industry Regulatory Authority (FINRA) Issues "Understanding Investment Professional Designations"

Stockbroker Law - Wednesday, November 11, 2015
The Financial Industry Regulatory Authority (FINRA) Issues "Understanding Investment Professional Designations"

The Financial Industry Regulatory Authority (FINRA) has issued a web link article entitled “Understanding Investment Professional Designations” suggesting that investors learn more about financial planners, investment advisors, broker dealers, and particular professionals who may be representing themselves as having one of many professional designations, titles, initials, accreditations, certifications, or registrations.  This list can be unending and very confusing and investors are well-advised to familiarize themselves with these designations. To learn more about the different types of professional designations, click here.

We offer a free initial consultation to investors who feel they may have been victimized by their financial advisor.  For an appointment, contact The Law Offices of Timothy J. O’Connor at (518) 426-7700.

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