Post by cxgllc90 on Nov 2, 2018 6:39:50 GMT -5
In simple terms, an RIA is a registered investment adviser. This generally means a financial firm that engages in advising others about investing in securities, gets paid for it and is subject to oversight by the Securities and Exchange Commission or their equivalent regulator at the state level.
A professional investment adviser who is registered with the SEC as part of the Investment Advisers Act of 1940. Registered investment advisors are required to register annually with the SEC and to disclose any conflicts of interest they have concerning transactions executed for their clients.
Broker Dealer License Requirements| BD Compliance Solutions
A professional investment adviser who is registered with the SEC as part of the Investment Advisers Act of 1940. Registered investment advisors are required to register annually with the SEC and to disclose any conflicts of interest they have concerning transactions executed for their clients.
Broker Dealer License Requirements| BD Compliance Solutions