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Investment Advisors: What They're Not

Dashboard > State Securities Acts and Related Rules and Regulations > Investment Advisors: What They're Not

Investment Advisors: What They're Not

Some things can be hard to define. That said, the U.S. is very clear about the things that it doesn't consider to be investment advisors. Here they are:

  • an investment advisor 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...

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