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What is a Wholesaler?

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Charles Samuel, CLU, ChFC

A financial services industry 'wholesaler' is an intermediary for, or a representative of, an organization that develops solutions and/or manages assets in the financial services industry (e.g. - mutual funds, REITs, annuities, ETFs, 401(k) Plans, etc.).

A wholesaler's client is the final seller of solutions and/or assets to investors and consumers, be they institutional (e.g. - family offices, pension plans, municipalities, etc.) or retail (e.g. - financial advisors, IARs, agents, etc.).

Actual titles for wholesalers will vary by firm (e.g. - associate, consultant, vice president, director, strategist, specialist, etc.).

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