Series 66: Non-Financial Investment Considerations

Taken from our Series 66 Online Guide

Non-Financial Investment Considerations

Last, but certainly not least, thorough advisers need to pay attention to non-financial investment considerations. That’s a fancy way of saying “things that affect what investments your clients are okay owning that have nothing to do with the financial aspect of choosing investments.” While that might sound kind of nebulous, it’s actually a huge part of working with some clients.

Some of the most common examples of non-financial investment considerations include:

• Values. Some clients do not wish to own, even indirectly, stocks or bonds in companies that are not socially responsible. Since “socially responsible” has a different meaning for everyone, this may or may not include companies that produce alcohol, tobacco, firearms, etc., as well as companies that are not environm

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