search result "Investment Advisor"   59 items

What is an investment adviser?

Generally, an investment adviser is a firm, or an individual, that:

*For compensation

*Engages in the business of

*Advising others (either directly or through publications or writings)

*As to the value of securities (e.g., stocks, bonds, mutual funds, exchange-traded funds, etc.), or

*As to the advisability of investing in, purchasing, or selling securities.

An investment adviser can also be a firm or an individual that:

*For compensation

*And as part of a regular business

*Issues or promulgates analyses or reports concerning securities