Sentences with phrase «as an investment advisor»

A colleague introduced me to his brother, who worked as an investment advisor.

Instead, he worked in sales and as an investment advisor before enrolling in law school.

Just as an investment advisor would tell you to diversify your investment portfolio to limit risk, it would seem that we promote the same logic in education reform.

Brokerage firms would like you to think they perform the same functions as investment advisors.

Over the last 20 years, first as an investment advisor working at a major Canadian brokerage firm and then as a portfolio manager at a private counsel, I've witnessed investor frustration.

He questioned the financial and fiduciary relationships held by lawmakers to clients at law firms or when they work as investment advisors.

Before joining Edward Jones, French served as an investment advisor for BMO Nesbitt Burns for three years before moving to the firm's head office in Toronto to support the development and growth of the firm's fee based and managed programs.

Additionally, the Fund Manager, Canopy South Capital Management, LLC, is not registered as an investment advisor under the Investment Advisors Act of 1940.

The Arbor Investment Planner does not act as an investment advisor, or advocate the purchase or sale of any security or investment.

Consult a lawyer as well as an investment advisor before participating in any ICOS.

Matt left a successful career as an investment advisor to join «The Condo Store Realty Inc.» and became the Managing Director of the «Insider Condo Club» where he invested in all types of real estate from commercial, development, pre-construction condos to multi-unit residential.

First Climate serves as investment advisor for CCI funds.

WMI is registered as an investment advisor with the Pennsylvania Securities Commission and the New Jersey Bureau of Securities.

With four decades of experience as an investment advisor, Pat McKeough is the editor and publisher of four newsletters: The Successful Investor, his flagship advisory on Canadian stocks, the Canadian Wealth Advisor for safety - conscious investing, Stock Pickers Digest for more aggressive investing, and Wall Street Stock Forecaster for the best U.S. stocks for Canadian investors.

Although exempt from registration as an investment advisor under the Investment Advisors Act of 1940, 15 U.S.C. § 80b - 1, et seq, RMG works tirelessly to ensure compliance with all applicable Security and Exchange Commission rules and regulations for entities which perform reviews and / or receive payments for advertising and solicitation.

The funds pay SSGA Funds Management, Inc. for its services as investment advisor, and State Street Bank and Trust Company for its servicing agent.

The SEC Action Lookup for Individuals, or SALI, will identify individuals, whether registered or unregistered as investment advisors, with checkered pasts.

Lynch had served as C.E.O., before Manchester appointed Mike Hodges as his successor a year ago, and Lynch took up a position as investment advisor to Manchester.

In 2016, Hudson Cove Capital was registered with the SEC as an investment advisor and started accepting outside capital for the first time in early 2017.

In these roles he was responsible for the management of several client families as well as Investment Advisors across several markets.

The story chronicles his rise as an investment advisor and his fall and the disintegration of his family.

He plays Bernie Madoff, whom you may remember as that investment advisor who was arrested in 2008 for perpetrating one of the biggest Ponzi schemes in history.

Whether serving as your Trustee if your assets are titled in a Trust, or as your investment advisor if your assets are in an Investment Management Account, we are committed to providing the highest quality investment services to high - net - worth individuals and institutions.

Based on the author's experience in the financial services sector since the mid-1960s, including more than 30 years as an investment advisor and money manager, this plain - talking book gives readers simple strategies to add between $ 1,000 and $ 10,000 to their monthly income in retirement, and without taking any of the dumb risks of the past.

He managed global currency exposure at Bloomberg LP, and previously held a role as an investment advisor at RBC Dominion Securities, where he advised clients on security selection and portfolio management.

His past experience and training as an investment advisor representative and general securities representative (Series 7 and Series 66 licensed) through the Financial Industry Regulatory Authority (FINRA) enables him to better serve his clients in a neutral capacity.

As such, they would be subject to onerous obligations under the Investment Company Act, such as registering with the SEC as an «investment company» or qualifying for an exemption from registration, conforming to a narrow set of allowable governance structures, and registering the individual with ultimate discretion over investment decisions as an investment advisor.

Fieldfisher advises RM Capital as investment advisor to RM Secured Direct Lending PLC in making a loan to Praetura Asset Finance, the UK's premier independent asset finance specialist.

U.S. Global Investors, Inc. serves as investment advisor to the U.S. Global ETFs.

In June 1990, he set up his own business, Marc Faber Ltd., which acts as an investment advisor and fund manager.

Portfolio Solutions ® is registered as an investment advisor with the U.S. Securities and Exchange Commission.

Matt left a successful career as an investment advisor to join «The Condo Store Realty Inc.» and became the Managing Director of the «Insider Condo Club» where he invested in all types of real estate from commercial, development, pre-construction condos to multi-unit residential.

Yes, David offers his services as an investment advisor to clients who need help managing investment and retirement accounts with a combined balance exceeding $ 500,000.

He has worked as an investment advisor and professional trainer for several Fortune 500 companies and retired from Legg Mason as senior vice president and director of corporate wealth management.

Yet, as an investment advisor, I am still witnessing many investors analyze these vehicles through a backwards lens.

Cambria Investment Management, LP serves as the investment advisor to the Cambria Trust.

As a mining analyst early in his career, and as an investment advisor and partner at Leede Financial for 6 years, Farhan has developed impressive relationships with financial institutions and public companies alike.

Southeastern manages over $ 19 billion as the investment advisor to the Longleaf Partners family of mutual and UCITS funds and to separately managed institutional accounts.

As Comptroller, Stringer serves as the investment advisor to, and custodian and a trustee of, the city's pension funds, which are composed of the New York City Employees» Retirement System (NYCERS), Teachers» Retirement System, New York City Police Pension Fund, New York City Fire Department Pension Fund and the Board of Education Retirement System.

I think the most direct and feasible route is to pass the Series 65, register as an investment advisor, and find a custodian who will let you manage the assets as the advisor on the account.

AXA Advisors, LLC serves as an investment advisor and LPL Financial serves as the principal sponsor, an investment advisor and the broker / dealer for the LPL Financial investment advisory programs offered through AXA Advisors» Financial Professionals.

I work as an investment advisor (ironic huh?)

As I read this as an investment advisor, I realized this book was best suited for wealth managers, but I concluded that the main lesson was show your largest clients personal care; their trust in you will grow, and they will stick with you unless you really blow it.

He discovered his passion for value investing in the late 90ies, when he met leading American value investors and covered them as investment advisor over many years.

As an investment advisor, we think... Read More