Series 6: 2.2.7. Fiduciary Accounts

Taken from our Series 6 Top-off Online Guide

2.2.7. Fiduciary Accounts

Fiduciary accounts are accounts where a third-party manages the account for a customer. The third-party is called the fiduciary. A fiduciary may be an investment adviser, bankruptcy trustee, executor of an estate account or trust account, or guardian of a minor account. Fiduciaries have a duty to put accountholders’ interests before their own.

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