Series 65: 5.1.3 Fiduciary Accounts

Taken from our Series 65 Online Guide

5.1.3 Fiduciary Accounts

Fiduciary accounts are accounts where a third party manages the account for a client. The third party is called the fiduciary. A fiduciary may be an investment adviser, bankruptcy trustee, executor of an estate account or trust account, or guardian of minor account. Fiduciaries have a duty to put the accountholder’s interests before their own.

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