2024-06-042024-06-042024-03-14https://dc.statelibrary.sc.gov/handle/10827/56081The term financial professional generally describes a person who provides some form of financial services and works independently or for a firm. This short guide focuses on three categories of financial professionals who service investors and are registered with regulators or are members of a self-regulatory association.application/pdfDocument©2024, Lightbulb Press. All rights reserved. www.lightbulbpress.com. Investment Fraud was funded by the Investor Protection Trust.Financial plannersInvestment advisorsStockbrokersText