Series 99: 1.2.2.6.3 Investment Adviser Accounts

Taken from our Series 99 Top-off Online Guide

1.2.2.6.3 Investment Adviser Accounts

An investment adviser is a person or entity that advises people on their investments for a fee. Investment advisers often open accounts at broker-dealers to buy and sell securities for customers. Investment advisers are considered fiduciaries and

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