Investment Advisor

In many jurisdications the term Investment Advisor is defined in the regulatory regime for the securities industry. Individuals who use the title are required to maintain an registration with the regulaotry or a self-regulatory body and typically are required to met initial an ongoing qualifcation standards. An investment advisor provides advice to customers on investment portfolios including the selection of particular investment instruments. They typically help buy and sell the investment instruments as required to execute the portfolio strategy. Many investment advisors also offer financial planning and other financial advice services.

Previous Next

WealthTech Trends to Watch in 2020

We've compiled insights of 20 top influencers and subject matter experts on the key WealthTech trends to watch as we enter the decade of the 2020s.

Biggest Market Opportunities to Grow Your Advisory Business in 2020

From new audiences to expanding your services, these are the ways to stand out as an advisor in 2020.

Financial Advisor Website Mistakes and How to Avoid Them

Are you making any of these website mistakes? They could be getting in the way of your success.

Xtiva launches Xtiva Vault to provide enhanced long-term data retention…

New service will provide SEC Rule 17a-4 compliant deep storage solution for investment firms to enhance long-term data retention and protection.

SEO Best Practices for Financial Advisors

Improve your search ranking as a financial advisor with a few key tips and tricks — no expensive tools or experience necessary.

Select Findings and Fines Related to SEC Record Retention Rule…

BOK Securities BOK failed to maintain thousands of brokerage record in a non-erasable, non-rewriteable format, resulting in a fine of $175,000. The findings stated that the firm failed to maintain…

3 Commonly Overlooked Records Subject to SEC Rule 17a-4

Don't overlook these three categories of documents that meet the books and records standard under SEC Rule 17a-4 for broker-dealers.

Financial Advisor Marketing: How to Market to Millennials

As millennials grow older, it's time to adapt your strategy to include younger clients in your practice.

Tips for Surviving a FINRA Audit of 17a-4 Compliance

Tips to help broker-dealers be “audit ready” for compliance with the records retention provisions of Rule 17a-4 of the Exchange Act.

See the difference XTIVA can make for your business

Get a demo

Xtiva Achieves More

Leave us your info and we’ll be in touch shortly!





Sending...