UBS Wealth Management Canada President and CEO, Grant Rasmussen, discusses 20 questions that every investor should ask his or her financial advisor. Don’t forget to ask about custody, auditors, fees and risk.
Video Rating: 5 / 5
· Registered Investment Advisors are independent contractors — which means they’re self-employed or employees of their own firms. In many states, they’re required register and hold either a Series 65 license – or a combination of Series 7 and 66. · How do they make their money? For portfolio management, the fee’s typically a percentage of the client’s total portfolio. But they could also charge hourly or flat fees. · RIAs evaluate client needs + risk tolerance, then recommend appropriate investments. · RIAs may offer other wealth management services, like retirement, trust, tax, charitable giving, estate and financial planning.
Video Rating: 5 / 5
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An informative video for advisors looking to break away from an MGA / Firm.