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Financial Advisor Satisfaction Survey: The well-known market research firm J.D. Power and Associates (a division of McGraw-Hill) conducts an annual study of financial advisor satisfaction. The study sample is drawn from a database of over 720,000 individuals in the U.S. Who hold Series 6 or Series 7 FINRA licenses. Macroeconomic trends and matters of convenience will move advisors, assets and markets next year in the ever-changing wealth management space. The network for financial advisors The network for.
Registering as an RIA isn't meant to denote any form of recommendation or endorsement by the SEC or state securities regulators. It means only that the investment advisor has fulfilled all the requirements for registration. For advisors who register with the SEC, the required information includes the advisor's, (AUM), fees, any disciplinary actions, and, for a firm, the key officers.
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Other requirements include the RIA informing the SEC of any potential conflicts of interest that have arisen for them in their work, or that might do so in future.
. Edward Jones, Raymond James and Merrill Lynch were above the industry average in all seven categories. was third in each category. Edward Jones was first in three categories: work environment, internal operational support, and administrative and compliance support. It was second in the rest. Raymond James was first in four categories: job duties, products and offerings, compensation, and firm performance. It was second in the rest.
UBS and Wachovia were below average in all categories except work environment.