Archive - February 1, 2016

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Are You Working With an Investment Advisor or a Financial Planner?

Are You Working With an Investment Advisor or a Financial Planner?

The Investment Advisers Act of 1940 states that an ‘…‘‘investment adviser’’ 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…’

Unfortunately, there is little regulation over what people giving financial advice can call themselves – adviser, advisor (yes, there is a difference), financial consultant or wealth manager – just to name a few.  Therefore, even though we have this definition above there is much confusion among consumers.

Investment advisors are often …

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