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Your choice between Advisory Services and Brokerage Services

 

In an increasingly complex world, it is important to carefully manage your financial needs and resources. At Oppenheimer, our goal is to provide the financial solutions that enable you to achieve your personal financial goals. We work closely with our clients to build tailored investment strategies and financial plans using a variety of resources, tools, and methodologies across the Firm. Depending on your investment needs and goals, Oppenheimer may assist you with investment advisory services, brokerage services, or a combination of both.

Your financial advisor will share with you in detail the various services we can provide in order to meet your individual needs. You can then decide how we will work together and the services that will be provided to you.

We want to make sure that you are aware of some of the important differences you need to take into consideration when deciding which type of service best fits your investment goals and needs. This includes how your account is managed, whether you receive investment advice or investment recommendations and how you pay for services.

Here are some considerations when deciding which choice is right for you:

  • Services Provided
    • Financial planning, retirement planning, advice, guidance and ongoing monitoring of your investments 
  • Investment Decisions
    • It is your choice regarding whether you or your advisor manages the day-to-day investment decisions for your account
  • Fees
    • A percentage fee based upon the value of the assets in your account 

  • Services Provided
    • Access to investor education, research, trade recommendations, trade execution and personalized information regarding financial products
  • Investment Decisions
    • Day-to-day investment decisions and trade authorizations are managed by you
  • Fees
    • Generally commissions are charged based upon individual transactions in your account

If you have any questions about the differences between an advisory and brokerage relationship, you should ask your Oppenheimer advisor, who is a valuable resource to help you make the investment decisions that are best for you.

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