CL King

Uncovering Hidden Investment Opportunities Since 1972

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C.L. King Tips to Find a Stock Market Broker

Since you are entrusting someone else to increase your monetary returns, it is important to find a reputable stock-market broker to handle your investments. A stock marketing is a licensed professional who can buy and sell stock shares or other securities on behalf of an investor. A stock-market broker works on a commission basis, often receiving bonuses and incentives for their performance


What to Look for in a Stock-Market Broker?

There are many factors to consider when selecting your stock market broker.

  • Are they licensed? 
  • What is their commission structure? 
  • How much experience do they have?


A stock-market broker stays abreast of the best way to achieve the financial goals of their clients. A good broker like C.L. King & Associates will strive to understand their needs, offer high quality research, and provide sound advice concerning investment opportunities. This is especially helpful to many clients, as some investors have no idea how the stock market works.


How your Stock Market Broker Operates

  1. How does your broker approach investments? Is he aggressive and high-risk or conservative and methodical? 
  2. What process goes into deciding on an investment stock? How much research is involved in a prospective stock? How many years of history does he research? 
  3. Are you involved in any selections as the investor? Does your broker work better in an execution or discretionary role?


There are often three levels of service that your stock-market broker operates in:

  • Execution - you instruct your stock market broker on when to buy and sell the stock shares that you want. They carry out your instructions, but will not give you advice about your decision. You can consult a different financial advisor for this if you desire.
  • Consultative - When your stock market broker acts as a consultant, he will discuss with you his views on the various companies and recommend whether you should buy, sell or hold on to your shares. In this respect, he will offer you advice concerning a decision that should be made about a certain stock.
  • Discretionary - your broker makes all decisions to purchase and sell and contacts you periodically to keep you informed concerning your portfolio performance.


Before you may be able to select the best broker for your needs, it is important to first understand your investment goals and philosophy. It is important to carefully calculate the amount you are willing to invest and assess the risk that you can afford to take when investing. Be very honest with your stock market broker concerning these points. A stock market broker who knows that you have a stable and conservative portfolio that you would like to keep that way will make different decisions than a high-risk, active client.


Remember when selecting a stock market broker that it is your money. You may find a particular broker to aggressive or even too conservative for the type of portfolio that you want to build. Make sure to emphasize your financial goals and risks. With the right research, you are sure to find the perfect match for your money in a stock market broker.


For more details you can consult with the experts at C.L. King & Associates. C.L. King takes a rigorous approach to financial advisory and M&A assignments based on years of experience, the latest finance theory, and comprehensive valuation insights gained from being an active broker-dealer in securities markets.
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