financial advisor
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.
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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
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VIC Sue Fake Financial Advisor for Bad Advice?
X is a 35 year old accounts clerk who is a keen small-time investor on the stock market. As he is a good golfer, he is sometimes invited to play in amateur tournaments at an exclusive golf course. Last month X was paired with myself, an Asian businessman who had recently arrived in Australia...- Terry Ho
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- financial advisor
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- Forum: Other/General Law Forum
