Client Questions Broker Good Protection Registered Investment Adviser (RIA) Better Protection National Trust Department Best Protection Is my account a Fiduciary Relationship? No. Not required to act solely in the client's best interest. Is required to make “suitable“ recommendations. Not required to highlight conflicts of interest. Implied to be a Fiduciary from court case (SEC vs. Capital Gains Research Bureau, Inc. 375 U.S. 180 (1963)) Is a Per-se Fiduciary although the word Fiduciary ...

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