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Question #6: Do I Need a Broker?

Only brokers can buy or sell securities. Brokers are the licensed intermediaries between you and the market. Before 1975, the only type of stockbroker available was a full-service broker, and all brokerages charged the same fees and commissions. Starting in 1975, brokerage firms were allowed to compete with one another, and the discount broker was born. Discount broker's commissions were typically 50 percent to 75 percent lower than those of full-service brokers. In summary, you have your choice of three ways to buy securities:

* Full-service brokers: Full-service brokers usually charge higher commissions and fees than discount brokers, but they also offer services that aren't available be through discount brokers. Full-service brokerages offer expert advice and good ideas that are especially helpful and needed when the stock market is gyrating. Other services include ways of establishing personal financial profiles, estate planning, and tax advice.

* Discount and online brokers: If you know what you want, why not use a discount or online broker to purchase securities as inexpensively as you can? Full-service discount brokerages like Charles Schwab (the first discount brokerage) and TD Ameritrade have added a lot of advisory and account-management services. The research available to account holders is staggering, but each firm currently charges hefty commissions for infrequent trades and a maintenance fee whenever your account balance falls below a certain minimum. In contrast, discount brokerage E*Trade still offers trades with low commissions and few frills. However, you can't visit a branch office to talk to someone or make a quick deposit.

* Buying mutual funds: Mutual fund buyers have the choice of purchasing a fund through a broker or purchasing a fund directly from the fund company. Many brokerages offer only a limited number of funds and may charge you a brokerage commission. However, if you buy a fund that your brokerage owns and manages, the firm usually waives the trading commission.

Tip: You can locate a complete, alphabetical list of brokerages at InvestorGuide http://www.investorguide.com/links-dir-brokerlist.html. This listing can be used to assist you in comparing brokerages.

 


                                                              

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