Latest / Transition To RIA Podcast
Q127 - What Is The Difference Between An RIA And A Broker-Dealer?
Participants in our industry often talk about moving to another broker/dealer.
But when they say “broker/dealer” they are also often referring to an RIA.
Or conversely, you’ll hear voices discussing joining or starting an RIA.
Yet that too, could also potentially involve a broker/dealer as well.
Confused yet?
In this episode (#127) of the Transition To RIA question and answer series I explain the difference in these two structures and how the terminology is used properly.
Come take a listen!
P.S. Prefer video? You can find this entire series in video format on Youtube. Search for the…
The skinny
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