Series 14: 8.5.3.3. Investment Adviser Accounts

Taken from our Series 14 Online Guide

8.5.3.3. Investment Adviser Accounts

An investment adviser (IA) 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 a client. Investment advisers are considered fiduciaries and must therefore put their clients’ interests before their own.

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