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Policy

3 Questions Investors Should Ask Their Financial Professional and the Disclosure That Should Answer Them

We looked at the new Relationship Summaries that investors are receiving and found them missing key information.

Seeking advice is a common human behavior when facing any challenge. Starting to invest can certainly seem daunting when financial literacy isn’t commonplace, and the transition from pensions to 401(k)s puts more onus on individuals. So while it’s understandable that investors seek advice from industry professionals, many investors are unaware of the variety of ways that professionals prioritize their objectives.