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  2. Stockbroker - Wikipedia

    en.wikipedia.org/wiki/Stockbroker

    t. e. A stockbroker is an individual or company that buys and sells stocks and other investments for a financial market participant in return for a commission, markup, or fee. In most countries they are regulated as a broker or broker-dealer and may need to hold a relevant license and may be a member of a stock exchange.

  3. Investment banking - Wikipedia

    en.wikipedia.org/wiki/Investment_banking

    Investment banking has changed over the years, beginning as a partnership firm focused on underwriting security issuance, i.e. initial public offerings (IPOs) and secondary market offerings, brokerage, and mergers and acquisitions, and evolving into a "full-service" range including securities research, proprietary trading, and investment management.

  4. Registered investment adviser - Wikipedia

    en.wikipedia.org/wiki/Registered_investment_adviser

    A registered investment adviser ( RIA) is a firm that is an investment adviser in the United States, registered as such with the Securities and Exchange Commission (SEC) or a state's securities agency. The numerous references to RIAs within the Investment Advisers Act of 1940 popularized the term, which is closely associated with the term ...

  5. Financial adviser - Wikipedia

    en.wikipedia.org/wiki/Financial_adviser

    A financial adviser or financial advisor is a professional who provides financial services to clients based on their financial situation. In many countries, financial advisors must complete specific training and be registered with a regulatory body in order to provide advice. In the United States, a financial adviser carries a Series 7 and ...

  6. What Is a Broker? - AOL

    www.aol.com/broker-195447853.html

    A financial broker is an intermediary that is authorized to sell and purchase securities and stocks on behalf of buyers and sellers. Brokers provide various investment services on behalf of their ...

  7. AMTD or IBKR: Which Investment Broker Is More Attractive? - AOL

    www.aol.com/news/amtd-ibkr-investment-broker...

    Based on their dividend yield, earnings growth expectations, ROE, price performance and leverage, let's see which amongst Interactive Brokers (IBKR) and TD Ameritrade (AMTD) is better.

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