SEC Form ADV Overview.

The SEC Form ADV is an important document that financial advisors must complete in order to provide information about their business practices and background to potential clients. The form must be filed with the Securities and Exchange Commission (SEC) and made available to potential clients upon request. The form ADV overview must include information about … Read more

Chartered Wealth Manager (CWM).

A Chartered Wealth Manager (CWM) is a professional designation granted by the Institute of Chartered Wealth Managers (ICWM) to individuals who meet the organization’s educational and experience requirements. The CWM designation is recognized internationally and is considered to be one of the highest standards in the wealth management industry. To become a CWM, candidates must … Read more

Security Analyst.

The occupation of security analyst is a finance-related position within the securities industry. Security analysts research and analyze securities, providing recommendations to investors and portfolio managers. They may also provide guidance to securities firms on behalf of their clients. Security analysts typically have a bachelor’s degree in business, economics, or finance. Some positions may require … Read more

Understanding the Series 24 License.

The Series 24 license is a registration held by supervisory personnel at broker-dealers who are responsible for supervising sales of securities products, including mutual funds and variable contracts. The license is also held by those who manage investment banking activities and private placements. The Series 24 examination covers topics such as the types of securities … Read more

What Does “Investment Adviser” Mean?

An investment adviser is an individual or firm that provides professional guidance and recommendations to clients regarding investments and securities. Investment advisers can be hired by individuals or institutions to provide advice on a fee-only basis, or they may receive commissions from the sale of securities. The term “investment adviser” is regulated by the Investment … Read more