financial advisor

Australia's #1 for Law
Join 150,000 Australians every month. Ask a question, respond to a question and better understand the law today!
FREE - Join Now
A financial adviser or financial advisor is a professional who provides financial services to clients based on their financial situation. In many countries, financial advisors must complete specific training and be registered with a regulatory body in order to provide advice.
In the United States, a financial adviser carries a Series 7 and Series 65 or Series 66 qualification examination. According to the U.S. Financial Industry Regulatory Authority (FINRA), qualification designations and compliance issues must be reported for public view. FINRA specifies the following groups who may use the term financial advisor: brokers, investment advisers, private bankers, accountants, lawyers, insurance agents and financial planners.

View More On Wikipedia.org
Recent contents
  1. ahmed49

    Managing Jet Lag Before and During Umrah

    The journey to Mecca for Umrah is a once-in-a-lifetime spiritual experience. It is a time of profound reflection, prayer, and devotion, but for many pilgrims, it also involves a long and tiring international flight. The time difference, often by many hours, can lead to the unwelcome side effect...
  2. S

    VIC Separation and financial matters

    hi there, I’m hoping someone can help me out with a financial matter. I have been married for 11 years and two years ago have purchased a house. My in-law gave my wife 400k which we put it into the house and we put in an additional 200k. The net asset of the home (after deducting from loan) is...
  3. Helenm

    QLD Financial Advisor Asking for Original Enduring Power of Attorney?

    Hi all, My partner and his sister just visited his mum’s financial advisor (with their Mum) as she has a some money left over after downsizing. The kids both have a Enduring Power of Attorney but the financial advisor (despite giving advice for over two hours) said she then needed them to...
  4. S

    Total Permanent Disablement

    I was employee of the federal government from 2007-2016. I had received income protection payments through my Superannuation fund Pssap - AIA Insurance. I failed to return to work after many attempts. On the 7th of October 2015, I called Pssap and spoke about Total Permanenet Disablement...
  5. P

    VIC How to Have Caveat Removed?

    The property was purchased in 2005, with funds from my father's deceased estate after his death that became funds of my children's Testamentary Trust (I have 4 children). At the time of purchase, my then husband and his financial advisor advised me to put the home in my name, not the...
    • Parallel
    • Thread
    • alcohol bankruptcy caveat child support child support agency deceased estate depression evidence financial advisor mortgage testamentary trust trustee witness
    • Replies: 1
    • Forum: Property Law Forum
  6. D

    NSW Not a Financial Advisor - Is Releasing Financial-Based App Illegal?

    Hey guys, So I obviously don't want to get in trouble with the law, lol. I want to make sure I know what I'm doing. I am a programmer looking to release an app on the app store in maybe a year's time. It is a financially based app. Basically it will make recommendations on certain things...
  7. L

    QLD Best Way to Handle VCAT Case with Employer?

    Hi All, I used to work as a Finacial Advisor on a contractor/ Sub Authorised Rep basis for a company here in QLD. I have since resigned, the Finacial planning Licensee and the Business owner failed to provide me with an Employment contract or a Sub Ar agreement which usually is provided by a...
    • Luwis
    • Thread
    • employment contract financial advisor restraint of trade vcat
    • Replies: 3
    • Forum: Employment Law Forum
  8. R

    Standard Procedure for Deed of Release with Financial Advisor?

    Hi, I have a quick question regarding a dispute with my financial advisor. We have agreed on settling our matter using a Deed of Release, however I have 2 questions. 1) The draft Deed of Release states the settlement is to occur within 28 days. Is 28 days the standard, or can I request...
  9. P

    VIC Benefitting from an Estate that Includes Superannuation?

    I am power of attorney for my sister who has a permanent disability that prevents her from working. We are in the process of investing some money for her in a Superannuation account (she is in her 40s - so well under normal preservation age). When she dies because she doesn't have any...
  10. L

    QLD Self Managed Superannuation Fund (SMSF) Emptied by Financial Advisor

    Our SMSF was stripped of all funds by the actions of our former financial advisor. There is little hope of any return, except from one minor investment and possibly from action against the auditor. We would like to wind up the fund because of the costs of administering such a small fund. If we...
Top Bottom