Sentences with phrase «registered as an investment adviser»

(The website of the company she started offers to trade on behalf of clients; neither Ms. Berwick nor the firm is registered as an investment adviser with the Securities and Exchange Commission or the Financial Industry Regulatory Authority.)

John Grazioli is still registered as an investment adviser with the department and the federal Securities and Exchange Commission, according to the department and SEC records.

GHP Investment Advisors, Inc. is registered as an investment adviser with the United States Securities and Exchange Commission, and its investment advisory representatives are licensed by the state of Colorado.

FMD Capital Management, LLC (FMD) is registered as an investment adviser with the California Department of Corporations.

New Energy Capital Partners, LLC is registered as an investment adviser with the U.S. securities and Exchange Commission.

Kalvoda said families should consider setting up a separate entity for these co-investments as she did to make sure their entire family offices aren't forced to register as investment advisers and therefore reveal financial details.

Yes, all SoFi Wealth Financial Advisors are registered as investment adviser representatives and hold the Series 65 or another qualifying examination or designation.

Wealthsimple US, Ltd. is registered as an investment adviser under the Investment Advisers Act of 1940 and uses Apex Clearing Corporation as broker / dealer for Wealthsimple investment accounts.

Based in Parsippany, New Jersey, the firm manages approximately $ 170 million and is registered as a commodity trading advisor and commodity pool operator with the U.S. Commodity Futures Trading Commission and is a member of the National Futures Association, as well as being registered as an investment adviser with the U.S. Securities and Exchange Commission.

Pros and cons of electing to, or not to, register as an investment adviser (or claiming an exemption therefrom).

Not exact matches

As a registered investment adviser, or RIA, the company can now offer portfolio recommendations and other investment advice — and charge for them.

In 2003, the Ontario Securities Commission disciplined personal - finance guru Brian Costello for flogging investments throughout the 1990s without being registered as an adviser.

Highland is an SEC - registered investment adviser which, together with its affiliates, has approximately $ 13.8 billion in assets under management as of December 31, 2017.

an investment fund that is advised by a person registered as an adviser or a person that is exempt from registration as an adviser, or

a person acting on behalf of a fully managed account managed by that person, if that person (i) is registered or authorized to carry on business as an adviser or the equivalent under the securities legislation of a jurisdiction of Canada or a foreign jurisdiction, and (ii) in Ontario, is purchasing a security that is not a security of an investment fund,

Provided by the Financial Industry Regulatory Authority (FINRA), BrokerCheck is a free tool to help investors research the professional backgrounds of current and former FINRA - registered brokerage firms and brokers, as well as investment adviser firms and representatives.

* As of March 31, 2017 Wells Fargo Investment Institute, Inc. (WFII) is a registered investment adviser and wholly owned subsidiary of Wells Fargo Bank, N.A., a bank affiliate of Wells Fargo Investment Institute, Inc. (WFII) is a registered investment adviser and wholly owned subsidiary of Wells Fargo Bank, N.A., a bank affiliate of Wells Fargo investment adviser and wholly owned subsidiary of Wells Fargo Bank, N.A., a bank affiliate of Wells Fargo & Company.

Fisher Investments, one of the largest registered investment advisers in the country, is rapidly growing its fledgling 401 (k) advisory business, which some industry observers see as an emerging threat to retirement plan advisers working with...

(i) persons who are licensed in the securities industry (such as a registered broker or investment adviser) with the Securities and Exchange Commission (the «SEC»), the Financial Industry Regulatory Authority («FINRA»), or the securities division of a state or an equivalent state division; and

who is a licensed or registered as a broker investment adviser with the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), or a state level equivalent division;

Also, I can not give you official investment advice because I am not an investment adviser registered with the SEC and I am not a CFP (certified financial planner), so if you watch the videos and you see me trading a certain ETF or stock please do not interpret it as a recommendation.

In no event shall SAI's providing the names of one or more registered investment advisers (RIAs) constitute an endorsement, recommendation, or opinion as to the quality or appropriateness of the RIA or the related advisory services.

RIAs are eligible to participate in the Program if they represent to Fidelity Investments that they meet the following criteria: (1) RIA is an investment adviser registered and in good standing with the U.S. Securities and Exchange Commission and / or any applicable state securities regulatory authorities or is exempt from such registration; (2) RIA's representatives who provide services to referred clients are appropriately registered / licensed as «Investment Advisers Representatives» in required jurisdictions; (3) RIA charges fee - based, asset - based, or flat - rate investment advisory service fees (which may include hourly fees); (4) RIA will maintain a minimum of $ 350,000,000 in total regulatory assets under management, as reported in response to Item 5 in Part 1A of the RIA's Form ADV, throughout the duration of RIA's participation in the Program; (5) RIA and all associated persons of the RIA who manage client assets or who supervise such associated persons shall at all times be covered through both Errors and Omissions Liability Insurance and Fidelity Bond Coverage; and (6) RIA maintains a minimum of two principals or officers as well as a minimum of five investment adviser registered and in good standing with the U.S. Securities and Exchange Commission and / or any applicable state securities regulatory authorities or is exempt from such registration; (2) RIA's representatives who provide services to referred clients are appropriately registered / licensed as «Investment Advisers Representatives» in required jurisdictions; (3) RIA charges fee - based, asset - based, or flat - rate investment advisory service fees (which may include hourly fees); (4) RIA will maintain a minimum of $ 350,000,000 in total regulatory assets under management, as reported in response to Item 5 in Part 1A of the RIA's Form ADV, throughout the duration of RIA's participation in the Program; (5) RIA and all associated persons of the RIA who manage client assets or who supervise such associated persons shall at all times be covered through both Errors and Omissions Liability Insurance and Fidelity Bond Coverage; and (6) RIA maintains a minimum of two principals or officers as well as a minimum of five Investment Advisers Representatives» in required jurisdictions; (3) RIA charges fee - based, asset - based, or flat - rate investment advisory service fees (which may include hourly fees); (4) RIA will maintain a minimum of $ 350,000,000 in total regulatory assets under management, as reported in response to Item 5 in Part 1A of the RIA's Form ADV, throughout the duration of RIA's participation in the Program; (5) RIA and all associated persons of the RIA who manage client assets or who supervise such associated persons shall at all times be covered through both Errors and Omissions Liability Insurance and Fidelity Bond Coverage; and (6) RIA maintains a minimum of two principals or officers as well as a minimum of five investment advisory service fees (which may include hourly fees); (4) RIA will maintain a minimum of $ 350,000,000 in total regulatory assets under management, as reported in response to Item 5 in Part 1A of the RIA's Form ADV, throughout the duration of RIA's participation in the Program; (5) RIA and all associated persons of the RIA who manage client assets or who supervise such associated persons shall at all times be covered through both Errors and Omissions Liability Insurance and Fidelity Bond Coverage; and (6) RIA maintains a minimum of two principals or officers as well as a minimum of five employees.

Geode Capital Management, LLC, an unaffiliated registered investment adviser that has served as subadviser to certain Fidelity products since 2003, will manage your account on a discretionary basis, including making all day - to - day investment decisions.

This document is being distributed by the following Allianz Global Investors companies: Allianz Global Investors U.S. LLC, an investment adviser registered with the U.S. Securities and Exchange Commission; Allianz Global Investors GmbH, an investment company in Germany, authorized by the German Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin); Allianz Global Investors Asia Pacific Ltd., licensed by the Hong Kong Securities and Futures Commission; Allianz Global Investors Singapore Ltd., regulated by the Monetary Authority of Singapore [Company Registration No. 199907169Z; Allianz Global Investors Japan Co., Ltd., registered in Japan as a Financial Instruments Business Operator [Regiregistered with the U.S. Securities and Exchange Commission; Allianz Global Investors GmbH, an investment company in Germany, authorized by the German Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin); Allianz Global Investors Asia Pacific Ltd., licensed by the Hong Kong Securities and Futures Commission; Allianz Global Investors Singapore Ltd., regulated by the Monetary Authority of Singapore [Company Registration No. 199907169Z; Allianz Global Investors Japan Co., Ltd., registered in Japan as a Financial Instruments Business Operator [Regiregistered in Japan as a Financial Instruments Business Operator [RegisteredRegistered No.

The issuing insurance company is not an investment adviser nor registered as such with the SEC or any state securities regulatory authority.

As the SEC increases investigations and enforcement of hedge fund managers and other registered investment advisers to private funds, it is honing its focus on certain topics.

Then throughout the study FINRA registered investment professionals are branded as «financial advisers» while solely registered investment advisers are excluded from the study entirely.

Certain titles such as «advisor» or «adviser» or others are exclusively reserved for registered investment advisers or for those otherwise provide personalized investment advice.

Its CEO, Kurt Barton, told SI that the firm manages «about $ 300 million» in assets, and he claimed thatTriton registered with the SEC (as is required by law of investment adviser firms with at least $ 25 million in assets under management) «roughly six months ago, around October.»

Our only measure of success is how well we help you serve your clients whether you do so as a registered representative, investment adviser representative, or registered investment adviser or through a hybrid service model.

The issuing insurance company is not an investment adviser nor registered as such with the SEC or any state securities regulatory authority.

Covestor Ltd is an investment adviser registered with the Securities and Exchange Commission, doing business as Interactive Brokers Asset Management («IB Asset Management»).

Waddell & Reed offers comprehensive financial planning services in its capacity as a registered investment adviser.

As a registered investment adviser, Bernie Madoff had a fiduciary duty to his clients.

It is registered as an authorised insurer in Hong Kong to provide long - term savings and investment solutions for customers and distributes products through strategic partnerships with independent financial advisers.

Our only measure of success is how well we help you serve your clients whether you do so as a registered representative, investment adviser representative, or registered investment adviser or through a hybrid service model.

You agree to promptly notify ChoiceTrade in writing if you are now or if you become: (a) registered or qualified with the Securities Exchange Commission, the Commodities Futures Trading Commission, any state securities agency, any securities exchange or association, or any commodities or futures contract market or association; (b) engaged as a «registered investment adviser» within the meaning of Section 201 (11) of the Investment Advisors Act of 1940 (whether or not registered or qualified under that act); or (c) employed by a bank or other organization exempt from registration under federal and / or state securities laws to perform functions that would require you to be so registered or qualified if you were to perform such functions for an organization not investment adviser» within the meaning of Section 201 (11) of the Investment Advisors Act of 1940 (whether or not registered or qualified under that act); or (c) employed by a bank or other organization exempt from registration under federal and / or state securities laws to perform functions that would require you to be so registered or qualified if you were to perform such functions for an organization not Investment Advisors Act of 1940 (whether or not registered or qualified under that act); or (c) employed by a bank or other organization exempt from registration under federal and / or state securities laws to perform functions that would require you to be so registered or qualified if you were to perform such functions for an organization not so exempt.

While the Investment Manager is registered with the SEC as an investment adviser, it does not comply with the Advisers Act with regard to its non-U.SInvestment Manager is registered with the SEC as an investment adviser, it does not comply with the Advisers Act with regard to its non-U.Sinvestment adviser, it does not comply with the Advisers Act with regard to its non-U.S. clients.

In the realm of investment advice, a registered investment adviser (RIA) is registered with the Securities and Exchange Commission or state securities regulators, has passed examinations, and must act as a fiduciary.

A closed - end fund's investment portfolio is generally managed by a separate entity known as an «investment adviser,» that is registered with the Securities and Exchange Commission.

The Manager is a Delaware limited liability company and is registered with the Securities and Exchange Commission as an investment adviser.

an investment fund that is advised by a person registered as an adviser or a person that is exempt from registration as an adviser, or

Founded as an investment club, the company became a registered investment adviser in 1968 and has a longstanding history of global investing and launching first - of - their kind investment products.

HSBC Securities (USA) Inc. is a registered investment adviser that serves as the Investment Adviser for the HSBC Spectrum and the Managed Portfolio Account (MPA)investment adviser that serves as the Investment Adviser for the HSBC Spectrum and the Managed Portfolio Account (MPA)Investment Adviser for the HSBC Spectrum and the Managed Portfolio Account (MPA) programs.

Prospector is described as «an investment adviser registered with the Securities and Exchange Commission with its principal offices [in] Guilford, CT..

The Adviser is registered with the SEC as an investment adviser under the Investment Advisers Act of 1940, ainvestment adviser under the Investment Advisers Act of 1940, aInvestment Advisers Act of 1940, as amended.

HSBC Securities (USA) Inc. is a federally registered investment adviser (with the Securities and Exchange Commission) that serves as the Investment Adviser and receives manageinvestment adviser (with the Securities and Exchange Commission) that serves as the Investment Adviser and receives manageInvestment Adviser and receives management fees.

He serves as an analyst at van Biema Value Partners, an SEC - registered investment adviser established by Michael van Biema in 2004 specializing in creating portfolios of small, deep value - oriented hedge funds for sophisticated clients around the globe.

The investment portfolios of mutual funds typically are managed by separate entities known as «investment advisers» that are registered with the SEC.