Series 7: 14.6.3. Advisory Accounts

Taken from our Series 7 Online Guide

14.6.3. Advisory Accounts

An investment adviser is a person or entity that advises people on their investments for a fee. Investment advisers often open accounts at broker-dealers to buy and sell securities for the customer. Investment advisers are considered fiduciaries and must therefore put their customers’ interests before their own. Investm

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