Certified Financial
Planner (CFP) - An experienced
financial planner who has completed courses of study and passed
examinations in areas such as insurance, securities and taxes.
Additionally, CFP's are required to disclose ethical standing
and comply with the CFP Board Code of Ethics. The designation
is awarded by the Certified Financial Planner Board of Standards.
Registered
Investment Adviser ( RIA ) - A person who,
for compensation, engages in the business of advising others
as to the value of securities or the advisability of purchasing
or selling securities. RIAs are required to register with
the Securities and Exchange Commission.
Form ADV
- The uniform form for use by investment advisors to register
and update registrations with the Securities and Exchange
Commission and the jurisdictions that require advisors to
register. The form is also used to comply with SEC Rule 206(4)-4,
which obligates investment advisors to disclose relevant financial
and disciplinary information to clients.
Professional
Investment Manager - A person who, for a fee,
offers professional advice on the development of an investment
plan and buys and sells securities on behalf of the customer
to implement that plan. A professional investment manager
may hold qualifications such as Certified Financial Planner,
Registered Investment Adviser and/or Registered Broker.
More definitions at:
http://www.investopedia.com
http://www.investorwords.com
http://finance.yahoo.com/education
| HFS is powered by |
 |
 |
|
 |
Website Powered By
AISO.Net's Solar
Powered Web Hosting |
|
