Understanding Your Brokerage and Investment Advisory ...
to have a fiduciary relationship with you In addition, for advisory retirement accounts,2 we are acting as a fiduciary under the Employee Retirement Income Security Act of 1974 (“ERISA”) and/ or under section 4975 of the Internal Revenue Code (“Code”). What is Your Financial Advisor’s Role When Handling an Investment Advisory Account?
Security, Income, Employee, Retirement, Fiduciary, Erisa, Employee retirement income security act
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