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Finance: Careers


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Finance: What is an Investment Adviser, and an Investment Adviser Representative?
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What is an investment advisor? Well, as a registered Shmoop advisor, we'd advise that you watch this video.

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Finance: What's the difference between a financial advisor and a financial planner?
23 Views

What is the difference between a financial advisor and a financial planner? A financial advisor can be anyone who works in the financial industry a...

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Finance: What Does a Financial Analyst Do?
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What does a financial analyst do? Financial analysts research the market and recommend investments. There are quite a few licenses required to be a...

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Finance: What Does a Personal Wealth Manager Do?
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What does a personal wealth manager do? A personal wealth manager helps individuals reach their financial goals. To do this, they ask questions lik...

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Finance: What does a stock broker do?
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What does a stockbroker do? Stockbrokers use money from investors to invest in the stock market. Their first job is to go out and find these client...

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Finance: What is principal?
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What is principal? A principal is an entity of record in a transaction with authorization for one side of a transaction, whether it be as buyer, se...

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Finance: What is the Securities Act of 1933?
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What is the Securities Act of 1933? Signed by President Franklin Roosevelt, the Securities Act of 1933 was the first legislation to regulate the st...

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Finance: What is Acting Against Recommendations?
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What is Acting Against Recommendations? In the financial world, if an investor is acting against recommendations, they are not listening to a recom...

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Finance: What are the Clayton Act and the Sherman Antitrust Act?
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What are the Clayton Act and the Sherman Antitrust Act? The Sherman Antitrust Act of 1890 was the first legislation enacted by Congress to outlaw m...

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Finance: What is the Investment Advisers Act of 1940?
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What is the Investment Advisers Act of 1940? Must be pretty special if we're still talking about it seventy years later.

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Finance: What is The Securities Amendments Act Of 1975?
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The Securities Amendments Act of 1975 created a national market clearing system to standardize stock prices and transaction costs from state to state.

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Finance: What is Acting As A Principal?
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What is Acting as a Principal? Acting as a principal happens when an individual or company takes on the role of principal. Usually in the case of c...

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Finance: What is an Agency Relationship?
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What is an Agency Relationship? An agency relationship allows an agent to act on behalf of the individual or company who hires them. This type of r...

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Finance: What is an Agency Cross Transaction/Trade?
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What is an Agency Cross Transaction/Trade? An agency cross trade happens when the advisor is the broker for the clients on both sides of a trade. A...

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Finance: What is Power Of Attorney (Trading Authorization)?
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Power of attorney refers to the authorization to conduct business on legal and financial matters on behalf of another party. So...choose wisely.