As a Registered Representative, one of your roles is to match appropriate investment products to your customers' needs and wants. After gathering the customers' goals and defined objectives, the information should be used to assist you in developing an investment strategy and in selecting the appropriate investment product(s) that matches the customers' needs and wants.
Additional factors such as age, tax implications, perceived risk and expected returns, also determine what investment products might suit the customer's defined objectives. Furthermore, how people invest is directly linked to factors such as the customer's education, experience with investing and his or her personal risk tolerance. With all those factors in mind, Registered Representatives must take the time to fully assess all of the customer's information before suggesting an investment.
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