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An investment advisor (sometimes spelled “investment adviser”) is defined as a company or person who has a government registration allowing them to choose, manage and recommend investments for clients. Investment advisors are also sometimes referred to as stock brokers. They are not fiduciaries.
Unlike other financial advisors who may not be regulated, investment advisors are regulated by their state or the Securities Exchange Commission depending on how much money they manage. Investment advisors may also offer services like retirement planning.
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Filed under: "Ask-an-Advisor", Financial Planning, Glossary Terms, Investing, Retirement and Benefits | Tagged: adviser, advisor, fiduciary, Investment Adviser, investment advisor, retirement, SEC, Securities Exchange Commission, stock brokers |
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