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| Occupation | |
|---|---|
| Names | Stockbroker Investment advisor Share broker Registered representative Trading representative Investment broker Investment adviser Financial adviser Wealth manager Investment professional |
Occupation type | Profession |
Activity sectors | Finance |
A stockbroker is an individual or company that buys and sells stocks and other investments for a financial market participant in return for a commission, markup, or fee. In most countries they are regulated as a broker or broker-dealer and may need to hold a relevant license and may be a member of a stock exchange. They generally act as a financial advisor and investment manager. In this case they may also be licensed as a financial adviser such as a registered investment adviser (in the United States).
Examples of professional designations held by individuals in this field, which affects the types of investments they are permitted to sell and the services they provide include chartered financial consultants, certified financial planners or chartered financial analysts (in the United States and UK), chartered financial planners (in the UK).
In the United States, the Financial Industry Regulatory Authority provides an online tool designed to help understand professional designations.[1]
- ^ komsan, seksun. "Understanding Professional Designations". seksun_komsan.org.co.th. Financial Industry Regulatory Authority. Retrieved October 9, 2020.