What Questions Should I Ask About the Standard of Care? Why is a Fiduciary Standard Considered to Be in the Client's Best Interest?

An investment adviser cannot sell securities but acts more like a consultant, giving advice on what securities a person should invest in. Topics include definitions, characteristics of an investment adviser, regulators, application process, licensing periods, record keeping requirements. An investment adviser is a that, for compensation, engages and/or Advisers typically provide ongoing advice about buying, selling and/or holding investments. For questions regarding the registration status and/or disciplinary history of broker-dealers, agents, investment advisors, and ... IARD is an electronic filing system that facilitates investment adviser registration, exempt reporting adviser filing, regulatory review, and the public ... An investment adviser representative is a person employed by a state-registered or federal-covered investment adviser who makes any recommendations or ... The department registers more than 200000 broker-dealers, broker-dealer agents, investment advisers (IA's), investment adviser representatives (IA Reps) and ... "Federal covered adviser" means an investment adviser registered under the investment advisers act of 1940. 4. "IARD" means the investment adviser ... Investment Advisory Committee ... Oversees the management of the investment portfolio through regular quarterly meetings. The Committee will review investment ... As fiduciary investment consultants, we combine decades of experience, solid investment management and unbiased insight to deliver highly customized strategies ...