Financial Adviser
A Financial Adviser is an advise-giving agent who can perform financial advise-giving tasks.
- AKA: Financial Planner.
- Context:
- They can range from being Human Financial Advisers to being a Financial Robo-Advisers.
- …
- Example(s):
- …
- Counter-Example(s):
- a Broker.
- an Accountant.
- a Lawyer.
- an Insurance Agent.
- See: Financial Services, Financial Industry Regulatory Authority, The Vanguard Group.
References
2023
- (Wikipedia, 2023) ⇒ https://en.wikipedia.org/wiki/Financial_adviser Retrieved:2023-8-14.
- A financial adviser or financial advisor is a professional who provides financial services to clients based on their financial situation. In many countries, financial advisors must complete specific training and be registered with a regulatory body in order to provide advice.
In the United States, a financial adviser carries a Series 7 and Series 66 or Series 65 qualification examination. According to the U.S. Financial Industry Regulatory Authority (FINRA), qualification designations and compliance issues must be reported for public view.[1] Details of formal compliance issues can be found on the Investment Adviser Public Disclosure (IAPD) website and details of non-formal issues can be found on Onesta. FINRA specifies the following groups who may use the term financial advisor: brokers, investment advisers, private bankers, accountants, lawyers, insurance agents and financial planners.[2] Financial advisors need to be able to take the full picture of the client's financial situation into account.
- A financial adviser or financial advisor is a professional who provides financial services to clients based on their financial situation. In many countries, financial advisors must complete specific training and be registered with a regulatory body in order to provide advice.
- ↑ "Understanding Professional Designations". FINRA. Archived from the original on 6 October 2012. Retrieved 8 November 2012.
- ↑ "Selecting Investment Professionals". FINRA. Archived from the original on 9 March 2015. Retrieved 8 November 2012.
2015
- (Wikipedia, 2015) ⇒ http://en.wikipedia.org/wiki/financial_adviser Retrieved:2015-3-2.
- A financial adviser (or advisor) is a professional who renders financial services to clients. ...
2014
- (Finra, 2014) &rArr ;http://www.finra.org/investors/rules-and-resources
- QUOTE: Also be aware that Financial Analyst, Financial Adviser (Advisor), Financial Consultant, Financial Planner, Investment Consultant or Wealth Manager are generic terms or job titles, and may be used by investment professionals who may not hold any specific credential.
2009
- (Ariely, 2009) ⇒ Dan Ariely. (2009). “Predictably Irrational: The Hidden Forces That Shape Our Decisions - revised and expanded edition." Harper-Collins New York. ISBN:978-0-06-135323-9
- QUOTE: I plan to take a proactive step by looking more closely at my relationships with physicians, lawyers, bankers, accountants, financial advisers, and the other professionals to whom I turn to for expert advice. I can ask doctors who prescribe me drugs whether they have any financial interest in the pharmaceutical company; financial advisers whether they get paid by the management of particular funds they are recommending; and life insurance salespeople what kind of commission they are working on — and seek to establish relationships with providers who do not have conflicts of interest (or at least get a second independent opinion).