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In addition to providing individually tailored investment advice, some investment advisers manage investment portfolios. Others might offer financial planning services or, if they're properly licensed, brokerage services (such as buying or selling stock or bonds)—or some combination.
BrokerCheck tells you instantly whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds and more), offer investment advice or both.
Investment Advisers. Investment advisers provide advice about securities tailored to the needs of their clients. They’re regulated by the SEC or state securities regulators. Learn more. Financial Planners. Financial planners provide an array of financial services that vary from provider to provider.
7 paź 2011 · BrokerCheck is a free tool from FINRA that can help you research the professional backgrounds of investment professionals, brokerage firms and investment adviser firms.
A registered investment adviser (RIA) is a firm that is an investment adviser in the United States, registered as such with the Securities and Exchange Commission (SEC) or a state's securities agency.
Make sure you know who you’re dealing with when investing, and contact FINRA with any concerns. For more information read the investor alert on imposters. For a complete compilation of Investment Adviser Firms currently registered with the SEC and states securities regulators, download the Investment Adviser Data .
15 sie 2024 · Brokers and investment advisers are regulated by different bodies and require different qualifications for practice (e.g., FINRA regulates brokers and the SEC regulates investment advisers).
