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What are investment advisers?
(Source: U.S. Securities and Exchange
Commission)
What
is an investment adviser?
What is the difference between an investment adviser and a financial planner?
What questions should I ask when choosing an investment adviser or financial
planner?
How do investment advisers get paid? (Member section)
Do investment advisers have to register with the U.S. Securities and Exchange
Commission? (Member section)
How do I find out whether an investment adviser ever had problems with
a government regulator or has a disciplinary history? (Member
section)
Are investment advisers required to have credentials? (Member
section)
What
is an investment adviser?
Investment advisers are in the business of giving advice about securities
to clients. For instance, if they receive compensation for giving advice
to a specific person on investing in stocks, bonds, or mutual funds, they
are investment advisers. Some investment advisers manage portfolios of
securities.
What
is the difference between an investment adviser and a financial planner?
Most financial planners are investment advisers, but not all
investment advisers are financial planners. Some financial planners assess
every aspect of your financial life-including saving, investments, insurance,
taxes, retirement, and estate planning-and help you develop a detailed
strategy or financial plan for meeting all your financial goals.
Others call themselves financial planners,
but they may only be able to recommend that you invest in a narrow range
of products, and sometimes products that aren't securities.
Before you hire any financial professional,
you should know exactly what services you need, what services the professional
can deliver, any limitations on what they can recommend, what services
you're paying for, how much those services cost, and how the adviser or
planner gets paid.
What
questions should I ask when choosing an investment adviser or financial
planner?
Here are some of the questions you should always ask when hiring any
financial professional:
- What experience do you have, especially
with people in my circumstances?
- Where did you go to school? What is your
recent employment .............
More
information is provided in the Member Area
Recommended further reading:
Trade Execution:
What every investor should know
Historical Bonds: Names you should know
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