Series 14: 7.2.3.1. Definition Of Investment Adviser

Taken from our Series 14 Online Guide

7.2.3.1. Definition of Investment Adviser

As discussed in Chapter 1, an investment adviser is:

Any person or firm that is in the business of providing advice or reports about securities for compensation.

Compensation may be in the form of an advisory fee or a commission. Investment advice about securities may include advice about stocks, bonds, mutual funds, limited partnerships and commodity pools, market trends, and asset allocation.

There are certain entities that are not considered investment advisers by the Advisers Act, even though they may give

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