Series 6: 2.2.7.1. Advisory Accounts

Taken from our Series 6 Online Guide

2.2.7.1. 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. Investment adv

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