| Securities Advice for Compensation |
| Investment Adviser |
My firm provides investment advice for compensation but does not sell securities products to clients.
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| Investment Adviser Representative |
I am associated with a firm that provides investment advice but does not sell security products to clients.
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| Broker-Dealer |
My firm is licensed to buy/sell securities to/for clients.
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| Registered Representative |
I have a business relationship with a broker-dealer firm and recommend to clients which securities to buy/sell.
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| Referral Arrangements |
| Solicitor/Referral |
I refer clients to other financial professionals and may or may not receive a referral fee.
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| Other Advisory Activities |
| Portfolio Manager |
I design and manage portfolios for clients.
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| Financial Analyst |
I make recommendations to buy, sell or hold a security based on my analysis.
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Compensation Models
for Financial Advisers |
I provide financial advice for compensation, perhaps including the sale of products.
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