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Wednesday, July 29, 2020 | History

4 edition of Investment advisory relationships found in the catalog.

Investment advisory relationships

Robert K. Doyle

Investment advisory relationships

managing client expectations in an uncertain market

by Robert K. Doyle

  • 269 Want to read
  • 4 Currently reading

Published by American Institute of Certified Public Accountants in [New York, NY] .
Written in English

    Places:
  • United States.,
  • United States
    • Subjects:
    • Investment advisors -- United States.,
    • Stockholders -- United States -- Attitudes.

    • Edition Notes

      Includes bibliographical references.

      Other titlesManaging client expectations in an uncertain market
      StatementRobert K. Doyle, Phyllis Bernstein.
      ContributionsBernstein, Phyllis.
      Classifications
      LC ClassificationsHG4928.5 .D696 2002
      The Physical Object
      Paginationxii, 218 p. :
      Number of Pages218
      ID Numbers
      Open LibraryOL3703856M
      ISBN 100870514695
      LC Control Number2003271500
      OCLC/WorldCa51480705

      INVESTMENT ADVISORY AGREEMENT This Investment Advisory Services Agreement (“Agreement”) is entered into effective as of the date of the last signature below (“Effective Date”) by and between Sowell Financial Services, L.L.C. d/b/a Sowell Management Services, an SEC Registered Investment Advisor with offices at River Pointe Drive. Advisers) Regulations, and offering investment advisory services. The book covers all important topics to enhance the quality of investment advisory and related services in the financial services industry. term relationships with their clients. The book also discusses the concept of Income tax.

      brokerage accounts, investment advisory programs, and insurance products and services – to align with your individual investment goals and objectives. When you choose to purchase investment products and services through us, you have the option of investing through a transaction-based brokerage relationship, a fee-based investment advisory. Investment Adviser Compliance Services & Solutions; We help our clients manage regulatory compliance, cybersecurity and risk, and performance verification through our consulting, outsourcing, and technology solutions. Our reviews for firms of all sizes help ensure their compliance with the Investment Advisers Act of and industry best.

        Under the anti-fraud provision of the Investment Advisers Act of (“Investment Advisers Act”) investment advisors registered with the U.S. Securities and Exchange Commission (“SEC”) must comply with the provision’s requirements concerning advertising and marketing materials. In efforts to prevent fraudulent, deceptive, or manipulative acts, your registered investment advisor. Investors today are managing multiple retirement savings and other investment accounts across multiple financial institutions (e.g., plans, health savings plans, and life insurance policies). These plans often involve complex financial decisions and risks, so many turn to financial advisors to help them decide which options are best for them.


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