An investment advisor that manages over $25 million in assets for other investors.
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These investors must meet regulations of individual states and file with the SEC yearly in order to ensure that all information is recent and accurate.
Related Links:
Deciding on who will guide your investments is an important choice. Learn what you should look for so you get what you need. Shopping For A Financial Advisor
Find out how this regulatory body protects the rights of investors. Policing The Securities Market: An Overview Of The SEC
Before you blame your advisor for your losses, be sure you know your rights and responsibilities. Tips For Resolving Disputes With Your Financial Advisor
