Why is it Unethical and Usually Impossible to Guarantee Returns?

451.2403 Investment advisor registration; requirements; exemptions ... (i) Federal covered investment advisers, investment advisers registered under ... PART 4. BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS. 30-14- ... As Lead Counsel, you will be one of the attorneys primarily responsible for supporting MMLIS, with a focus on its growing investment advisory business. An investment adviser (also known as a stock broker) is any person or group that makes investment recommendations or conducts securities analysis in return for ... TIAA is committed to helping advisors deliver the best retirement programs and investment products to their clients and their participants. The Division requires all investment adviser firms and investment adviser representatives to register on the Investment Adviser Registration Depository (IARD) ... It provides the statutory basis for the registration of securities and the licensing of broker-dealers, agents, investment advisers, and investment adviser ... Registered investment adviser ... A registered investment adviser (RIA) is a firm that is an investment adviser in the United States, registered as such with the ... Information on how to become a licensed investment adviser or agent with the State of New Hampshire. Access Web IARD It is unlawful for a person to transact business in this State as an investment adviser unless the person is licensed under this chapter as an investment ...