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Lub tuam txhab RIA yog dab tsi?
Lub tuam txhab RIA yog dab tsi?

Video: Lub tuam txhab RIA yog dab tsi?

Video: Lub tuam txhab RIA yog dab tsi?
Video: Lub Tuam Txhaab ONPASSIVE Yog Dlaabtsi 2024, Kaum ib hlis
Anonim

Tus kws tshaj lij peev peev sau npe, lossis RIA , yog "tus neeg los yog ruaj uas, rau kev them nyiaj, yog koom nrog hauv kev muab cov lus qhia, ua cov lus pom zoo, tshaj tawm cov ntawv ceeb toom lossis kev txheeb xyuas kev nyab xeeb, ncaj qha lossis tshaj tawm "raws li Txoj Cai Investment Advisers Act of 1940.

Ua qhov no hauv kev txiav txim siab, qhov sib txawv ntawm RIA thiab tus kws pab nyiaj txiag yog dab tsi?

Txhua nyiaj txiag cov kws pab tswv yim poob rau hauv ib qho ntawm ob pawg: Sau npe Kev nqis peev Kws qhia ntawv ( RIAs ) andbroker-cov tswv lag luam. RIAs yog fiduciaries, thaum broker-dealersaren ' t. Ntxiv rau qhov kev lav phib xaub fiduciary, lwm qhov tseem ceeb qhov sib txawv ntawm RIA thiab tus broker-neeg muag khoom yog hauv txoj kev uas lawv tau them nyiaj.

Ib yam li ntawd, RIA puas tuaj yeem muag kev pov hwm? RIAs , yog tias lawv them nqi nkaus xwb, siv tsis tau kev pov hwm cov khoom hauv lawv cov kev coj ua vim kev pov hwm yuav luag tshwj xeeb tshaj yog kev cog lus-kev lag luam kev lag luam. Peb ua haujlwm nrog cov neeg nqa khoom uas muab cov khoom lag luam zoo tshaj plaws hauv lub neej, kev noj qab haus huv thiab cov khoom lag luam nyiaj xyoo.

Dhau li ntawm no, koj ua li cas los ua ib lub tuam txhab RIA?

QHOV TSEEB THIAB KAUJ RUAM

  1. Xaiv koj lub chaw lag luam thiab chaw nyob.
  2. Sau npe ua lag luam nrog tus tuav ntaub ntawv hauv xeev.
  3. Tau txais tsoomfwv tus lej se ID rau kev lag luam.
  4. Ua kom tiav FINRA's Series 65 kev xeem.
  5. Sau koj tus RIA nrog Tus Kws Tshaj Lij Ua Lag Luam Sau Npe Sau Npe (IARD) thiab tau txais tus lej CRD.

Puas yog Morgan Stanley yog RIA?

Tus broker-tus neeg muag khoom npe rau Morgan Stanley Kev Tswj Nyiaj Txiag yog Morgan Stanley Smith Barney. Raws li tus neeg muag khoom, Morgan Stanley yuav ua kev lag luam kev nyab xeeb rau koj, ntawm lwm cov kev pabcuam. MorganStanley cov kws pab tswv yim nyiaj txiag tuaj yeem muab ob qho kev pabcuam kev lag luam thiab kev pab tswv yim nqis peev.

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