Being registered only as a Registered Investment Advisor means that the firm's financial professionals are always required to follow the Fiduciary Standard. This is not the case when they are dually registered as a Broker-Dealer and an Investment Advisor. A dually registered financial professional may act in different capacities on different accounts (or at different times) for the same client. They may be a Registered Investment Advisor Representative on one and a Broker Dealer Agent on another.
|Firm||Always Follows Fiduciary Standard||Registered Investment Advisor||Registered Broker-Dealer|
|One Day In July|
"Edward Jones" is a registered trademark of Edward Jones Investments, "Fisher Investments" is a registered trademark of Fisher Asset Management LLC, "Morgan Stanley" is a registered trademark of Morgan Stanley, "Vanguard" is a registered trademark of The Vanguard Group Inc, "Merrill," a wholly owned subsidiary of and a registered trademark of Bank of America Corporation, and "Citigroup" is a registered trademark of Citigroup Inc. "Raymond James®" is a registered trademark of Raymond James Financial, Inc.
Shelburne, VT 05482
Burlington, VT 05401