November 29, 2017

A broker-dealer is a firm that processes orders for its clients and for its own benefit.  As a result, sometimes the firm acts as a broker.  And, other times it acts as a dealer.  When a financial advisor, or registered representative, executes a “buy” or “sell” order...

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Securities and investment advisory services are offered through Sovereign Global Advisors, Registered Investment Advisor and members of FINRA and SIPC.

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