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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