Notice: Safeguard Estate & Financial, LLC is not a Broker Dealer or a Registered Investment Adviser firm and does not provide investment advice. The following is general information and should not be considered individual investment advice. Safeguard Estate & Fiancnial, LLC works with professional investment advisors of your choice to coordinate their role in your complete plan.
What is a Registered Investment Advisor – RIA
A Registered Investment Advisor (RIA) is an advisor or firm engaged in the investment advisory business and registered either with the Securities and Exchange Commission (SEC) or state securities authorities. RIAs have a fiduciary duty to their clients, which means they have a fundamental obligation to provide suitable investment advice and always act in their clients’ best interests.
What is a Broker-Dealer
A broker-dealer is a person or firm in the business of buying and selling securities for its own account or on behalf of its customers. The term broker-dealer is used in U.S. securities regulation parlance to describe stock brokerages, because most of them act as both agents and principals. A brokerage acts as a broker (or agent) when it executes orders on behalf of clients, whereas it acts as a dealer, or principal, when it trades for its own account.
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Safeguard Estate & Financial
1405 N. Hayden Rd.