investment adviser

Which State-registered Investment Advisor Must Report That It Takes Custody On Form ADV?

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Which State-registered Investment Advisor Must Report That It Takes Custody On Form ADV? Which State-registered investment adviser MUST report that it takes custody on Form ADV? The best answer is B. Taking custody means that the adviser is holding customer funds or securities or has the ability to access customer funds or securities. Which of

What Is A State Registered Investment Advisor?

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What Is A State Registered Investment Advisor? Have less than $100,000,000 in assets under management. State investment adviser registrants also include investment advisers offering services that solely include financial planning or soliciting clients on behalf of other advisers. Do I need to register as an investment adviser? While there are some exceptions, in general, investment