As a Registered Representative, one of your roles is to match appropriate investment products to your clients' needs and wants. After gathering the clients' 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 clients' needs and wants.
Additional factors such as age, tax implications, perceived risk and expected returns, also determine what investment products might suit the client's defined objectives. Furthermore, how people invest is directly linked to factors such as the client'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 client's information before suggesting an investment.
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