Series 65: 5.1.3.3 Advisory Accounts

Taken from our Series 65 Online Guide

5.1.3.3 Advisory 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 the client. Investment advisers are considered fiduciaries and must, therefore, put their clients’ interests

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