- Euripides. It is a beautiful trait in the lover's character, that they think no evil of the object loved. - Henry Wadsworth Longfellow. Each character represented a trait that resides in me. - Chuck Jones. No trait is more justified than revenge in the right time and place.
RIAs and Broker-Dealers can be different in many ways, but the main point revolves around compensation. Broker-Dealers are typically compensated by charging a commission on the sale of an investment product, whereas RIAs are typically compensated by charging a fee for advice â two very different structures.
Broker-dealer. A broker-dealer (B/D) is a license granted by the Securities and Exchange Commission (SEC) that entitles the licensee to buy and sell securities for its clients' accounts.The firm may also act as principal, or dealer, trading securities for its own inventory.roker-Dealer. A person or, more often, a firm that acts as a broker for some transactions and a dealer for others. That is, as a broker, he/she conducts transactions on behalf of clients, and, as a dealer, he/she trades on his/her own account. In practice, most brokerages are in fact broker-dealer firms.