All posts by GuthrieSnyder63

Fiduciary responsibility
Securities and investments is the bread and butter for an independent broker-dealer who must possess certifications and licenses from the Financial Industry Regulatory Authority . As an self-regulatory organization, these brokers must adhere to fiduciary responsibility standards while having their registration with Securities Investor Protection Corporation and filing a SEC FORM BD. State certifications may also be required, but ultimately hard work and perseverance are critical characteristics for success in this challenging and rewarding industry.