Broker Check

Investment Suitability

If you have ever questioned why financial professionals ask you about your investment experience, risk tolerance, net worth, tax bracket etc., the answer is suitability. The Financial Industry Regulatory Authority (FINRA) suitability Rule 2111 is based on a fundamental requirement that brokerage firms and their associated brokers, financial advisers or financial consultants deal fairly with their customers. We at Haller Financial highly recommend that you go to the FINRA website and read Rule 2111.

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