Investment advisor

RECENT NEWS
Forbes  Jul 7  Comment 
Tocqueville Asset Management LP (TAM)got a nasty surprises when it took some steps to streamline an overly complicated ownership compensation scheme.  For 2005 over $10,000,000 in compensation deductions were disallowed for purposes of the New...
DailyFinance  Jun 17  Comment 
VANCOUVER, BRITISH COLUMBIA -- (Marketwired) -- 06/17/14 -- A British Columbia Securities Commission panel has found that a former investment advisor engaged in an illegal distribution.The panel found that in April 2011, Robert Waters, a B.C....
Reuters  Mar 31  Comment 
An investment advisor featured in "The Big Short," a best-selling book about the financial crisis, faced an administrative trial Monday on claims he misled investors in a complex investment product linked to mortgages.
The Economic Times  Mar 12  Comment 
"There definitely can be a correction of 50-100 points on the Nifty, but for people like me that becomes an opportunity."
Forbes  Feb 28  Comment 
SEC Chairman Mary Jo White said in late February: "We will intensify our consideration of the question of the role and duties of investment advisers and broker-dealers with the goal of enhancing investor protection." Is a stock broker really a...
DailyFinance  Feb 6  Comment 
BERKELEY, CA -- (Marketwired) -- 02/06/14 -- Jonathan K. DeYoe of DeYoe Wealth Management, Inc., who provides financial planning and investment advisory services in Berkeley and Oakland, CA, has announced that the U.S. Securities and...
Forbes  Oct 1  Comment 
The investment advisor business is a hard field to break into. There's a ton of licensing and test-taking. Firms don't hire fresh off the street. Rather, they seek to cherry-pick successful advisors from other firms.
Forbes  Aug 30  Comment 
If you manage to save up enough money to worry about it — and I hope you have this problem — you eventually wonder if you need to hire an investment advisor.
The Hindu Business Line  Jun 14  Comment 
Tathastu Advisory Pvt Ltd, a Maharashtra-based financial advisory firm, on Friday announced the launch of a link in Gujarati language to its Web site, aiming to tap investment-savvy peop...
The Hindu Business Line  Sep 22  Comment 
Most of you prefer to take your own investment decisions. And, indeed, you should. So, is there a need for an investment advisor, especially in a world where information is freely available? ...




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Investment advisors

A person who gives advice on Investments. Those who work for closed-end companies, are prohibited from disseminating advice known to be deceitful or fraudulent, and from acting as a principal on their own accounts by buying and selling securities between themselves and a client without prior written consent. [3]

Means any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities. The spellings investment advisor and Investment adviser are both correct. [4]

From advice c.1300 from avis "opinion, it seems to me, in my view. [1]

References

  1. [1]1610s, agent from advise. [2]
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