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Category: Investment Guidance

File These Under “Forms that Matter”: Basics of the 10-K, 10-Q, & Other SEC-Required Filings

File These Under “Forms that Matter”: Basics of the 10-K, 10-Q, & Other SEC-Required Filings

Key Takeaways Publicly traded companies are required to regularly report financial information in filings to the SEC SEC filings are freely available and can provide investors with valuable insights into a company’s financial health The 10-K, one of the most impactful SEC filings, includes a few critical sections investors should study Publicly traded companies, whatever […]

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Social Trading: Is There Really Safety in Numbers?

Social Trading: Is There Really Safety in Numbers?

Key Takeaways Social trading can be an informative way to invest, as long as you approach it with caution Know when consensus in opinion among forum participants starts resembling herd mentality Understand there isn’t always safety, let alone wisdom, in numbers In late January, we saw some quiet and underperforming stocks unexpectedly rise in value […]

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It’s Shopping Season: Ideas to Help You Choose ETFs

It’s Shopping Season: Ideas to Help You Choose ETFs

Key Takeaways Learn how exchange-traded funds (ETFs) can potentially offer diversification and income  Understand the risks and potential tax consequences of ETF investing Take your investment objectives, risk tolerance, and time horizon into consideration as you research ETFs Doing a little shopping for your portfolio this season? Perhaps you should consider exchange-traded funds (ETFs) as […]

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What’s the Difference Between Broker-Dealers & Investment Advisors?

What’s the Difference Between Broker-Dealers & Investment Advisors?

Key Takeaways Investment advisors and broker-dealers operate under different regulations Broker-dealers typically must get your approval before buying securities Investment advisors can buy and sell on your behalf without approval for each transaction New regulation coming soon from the Securities and Exchange Commission Broker-dealers and investment advisors can both play a crucial role in their […]

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