There are a number of factors that clients should take into consideration when dealing with any broker/dealer. However, this post is designed to point out two of these factors that are more important when dealing with a small broker/dealer, usually called an "independent broker/dealer." Please keep in mind that this post is not designed to be complete in all material respects. Thus, this post should not be relied upon as providing legal or investment advice. If you have any questions about the information contained herein, you should contact an experienced professional.