What Factors Beyond the Fee Should I Consider?

Feb 13, 2024 ... Investment advisors follow a "fiduciary standard," while broker-dealers follow a "suitability standard" or "best interest standard." An investment adviser cannot sell securities but acts more like a consultant, giving advice on what securities a person should invest in. ... investment company or investment trust registered under the Investment ... adviser with authority with respect to such decisions is an investment adviser. Who Must Register? ... Every person who, for compensation, renders investment advice or provides financial planning services that includes investment advice in ... We have a long history of serving the public. Beginning in April 1869 with the appointment of the first Secretary of the Territory of Wyoming, Edward M. Lee. 451.2403 Investment advisor registration; requirements; exemptions ... (i) Federal covered investment advisers, investment advisers registered under ... The department registers more than 200000 broker-dealers, broker-dealer agents, investment advisers (IA's), investment adviser representatives (IA Reps) and ... 405 pages. Language: English. Publisher: Nick Murray Co Inc. Publication date: November 1, 1996. Dimensions: 9.1 x 6.2 x 1.2 inches. Mar 20, 2024 ... The Bureau registers and oversees financial entities and professional such as investment advisers, investment adviser representatives, broker- ... Information on how to become a licensed investment adviser or agent with the State of New Hampshire. Access Web IARD