What Questions Should I Ask Regularly?

Merrill Guided Investing is offered with and without an advisor. Merrill, Merrill Lynch, and/or Merrill Edge investment advisory programs are offered by Merrill ... An investment adviser representative is a person employed by a state-registered or federal-covered investment adviser who makes any recommendations or ... Currently, the SEC regulates Investment Advisers with more than $100 million in assets under management. However, federal covered advisers must still notice ... The department registers more than 200000 broker-dealers, broker-dealer agents, investment advisers (IA's), investment adviser representatives (IA Reps) and ... An investment adviser is a person that, for compensation, engages in the business of advising others, either directly or through publications or writings. Most securities firms, stockbrokers, investment advisers, and investment adviser ... Investment Advisor firm or investment adviser representative. Here you can ... For questions regarding the registration status and/or disciplinary history of broker-dealers, agents, investment advisors, and ... It provides the statutory basis for the registration of securities and the licensing of broker-dealers, agents, investment advisers, and investment adviser ... The SEC has stated that investment advice is “solely incidental” to brokerage services when the advisory services rendered are “in connection with and ... 5. An investment adviser must be solvent. 6. If an investment adviser based in Kentucky has custody of client funds or securities, then the adviser shall ...