FINRA Disclosures Post-Work for an IRA/Brokerage Account
Post history turning into retirement questions entirely but whatever lmao
I had a 401k match from SA, so I currently have a Fidelity account linked under my previous employer (internship ended). I want to open a Roth IRA and a Brokerage Account, but both ask if me/any immediate family in my house work in finance or are "associated with" financial services.
The answer is "no", I believe, but seems suspicious to put that given that the Fidelity account has my company's logo everywhere lol.
Anyone else had this experience? Should I use another broker to do this and put "no"?
Thanks.
If your internship ended, then so did the link. No is the correct answer, unless you're now still working for another fiduciary firm. Even then, all it would mean is you have to abide by the DNT list and may be restricted to ETFs or mutual funds since they're managed by a third party (unless you do SEC reporting and you're also working ETF and fund reporting, then it can get...weird).
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