What is Investment Adviser? | SERIES65, SERIES66 Exam Prep

An investment adviser is a person or firm that provides advice about securities for compensation, regulated by the SEC (if managing $100M+) or state regulators, and held to a fiduciary standard. 📚 Learn more about Investment Adviser and other key terms for your SERIES65, SERIES66 exam at Open Exam Prep. 🎯 This term appears on: SERIES65, SERIES66 🔗 Full glossary: https://www.open-exam-prep.com/glossary 🔗 Investment Adviser definition: https://www.open-exam-prep.com/glossary/investment-adviser 💡 Exam Tip: IA = fiduciary standard. $100M+ = SEC registration. Form ADV = disclosure document. --- #general #examprep #financeexam #series65 #series66