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Financial Institution Clients

What is a broker/dealer? 

Broker/dealers are the people behind the scenes.

A broker/dealer firm can be a full-service organization that supports licensed financial advisors who may work within a bank or credit union conducting business with members of the general public.

Broker/dealers traditionally work with advisors rather than the end-client, offering marketing; compliance; general servicing and processing; as well as training, education, and networking opportunities to advisors.

Products are usually provided by product providers or sponsors although some products may be manufactured within the broker/dealer.