contact information
1846 E. Innovation Park Dr.
Oro Valley, AZ 85755
520 299 8800Phone:
520 299 8802Fax:
info@berylstone.com
5151 E Broadwoy Blvd, Ste. 1600
Tucson, AZ 85711
520 299 8800Phone:
520 299 8802Fax:
info@berylstone.com
Salesperson or fiduciary?
Arthur Levitt"While brokers will say they are under NASD oversight, they are not regulated with the consumer in mind…. The exemption of brokers from investment advisor regulation only serves to confuse investors...."
Former SEC Chairman
Stockbrokers and fiduciary investment advisors are not the same. Stockbrokers sell financial products: They don't have any obligation to sell the best product at the best price. In fact, most stockbrokers sell the products that are underwritten and promoted by their firm. They receive a commission from their firm for selling those products in addition to the fees they are charging their clients' accounts.
Unlike stockbrokers, fiduciary investment advisors must always put the best interests of their clients ahead of their firm. Fiduciary advisors purchase and sell securities based solely on the unique needs and circumstances of each client. Fiduciary standards are widely considered to be much higher standards than the NASD “suitability” standards that apply to stockbrokers.
Who is managing your portfolio?
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