Working with Financial Professionals
Working with Financial Professionals
The Secretary of State is committed to providing resources to empower Georgians to make important decisions on saving, investing and growing their wealth.
The Secretary of State is making available Working with Financial Professionals.
The term financial professional generally describes a person who provides some form of financial services and works either independently or for an investment or brokerage firm. This short guide focuses on three categories of financial professionals who service investors: investment advisers, broker dealer agents, and financial planners.