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[PDF File]Fidelity BrokerageLink® Fact Sheet - Wayne State University
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BrokerageLink® accounts are brokerage accounts established as part of an employee benefit plan and are subject to plan rules. Plan participants have trading authority over BrokerageLink® accounts. Consult the BrokerageLink® account terms and conditions for more information. A self-directed brokerage account is not for everyone.

[PDF File]Working with an LPL Financial Advisor
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advisor can offer you both investment advisory and brokerage services. We want to make sure you are aware of some of the important considerations you need to take into account when deciding which type of service best serves your investment goals and needs. What It Means to Work with an LPL Financial Advisor in an Advisory Relationship

[PDF File]INDEPENDENT BROKER-DEALER RANKINg 2015
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FA’s 2015 Independent Broker-Dealer Ranking 12. NFP Advisor Services 10. Waddell & Reed Financial Advisors 11. Royal Alliance Associates 9. Securities America Contact: Dan Schwamb dschwamb@nfp.com

[PDF File]Understanding Your Brokerage and Investment Advisory ...
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may maintain multiple accounts (some of which are brokerage accounts and some of which are investment advisory accounts) with Morgan Stanley at the same time. Also, although we may consider your brokerage account assets in preparing guidelines or determining suitability for your investment advisory services, your brokerage relationship

[PDF File]NET CAPITAL REQUIREMENTS FOR BROKERS OR DEALERS …
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NET CAPITAL REQUIREMENTS FOR BROKERS OR DEALERS SEA Rule 15c3-1 (a) NET CAPITAL REQUIREMENTS FOR BROKERS OR DEALERS ... dealer accounts and receives or holds funds or securities for those persons. A broker or dealer ... whose underwriting activities are limited solely to acting as underwriters in best efforts or all or none underwritings in ...

[PDF File]The 8 Best Global Brokers
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International Intelligence Briefing –The 8 Best Global Brokers Mauldin Economics Page 2 An Update on Global Brokerages By Kevin Brekke In response to many requests from our readers, this month we have assembled a select list of brokerage service providers to assist our international subscribers in trading the equities we cover.

[PDF File]Vanguard Brokerage Services Annual Notice
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Brokerage’s SIPC coverage or the additional insurance secured by VMC. • If your Vanguard mutual funds, including your settlement fund, are held in custody by Vanguard Brokerage, which is the case with Vanguard Brokerage Option accounts through an employer-sponsored retirement plan, the funds are

[PDF File]Understanding Your Brokerage Account Statements
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The best way to track your brokerage account activity and performance is to carefully review your monthly/quarterly statements. This document provides a detailed “snapshot” of the value of, and the transactions that have occurred in, your account during the statement period. They are mailed quarterly or monthly, and many firms provide

[PDF File]Offer Rules
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Eligible accounts for this offer include nonretirement (individual or joint) brokerage accounts which meet the minimum funding requirements for this offer. IRA accounts are not eligible. The promotion is not available for the following account types/products: mutual fund only accounts;

[PDF File]Moving your Vanguard funds to a Vanguard Brokerage Account
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fund accounts and want the agent to also have access to your brokerage accounts, you’ll need to establish that access on your Vanguard Brokerage Account after the transfer. If you’ve granted access on your existing brokerage account, that access will remain in effect. To change your third-party access: 1.

Best brokerage accounts