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I Am Not an Investment Adviser…For Sure

Dashboard > State Securities Acts and Related Rules and Regulations > I Am Not an Investment Adviser…For Sure

I Am Not an Investment Adviser…For Sure

It’s much harder to define a thing than it is to say “This is not it.” The USA is very clear about what it thinks is not an investment adviser.

  • an investment adviser representative
  • a lawyer, accountant, engineer, or teacher whose performance of investment advice is solely incidental to the practice of the person's profession
  • a broker-dealer or its agents whose performance of investment advice is solely incidental to the conduct of business as a broker-dealer and that does not receive spec...

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