Which of the following is not something you should consider when evaluating an investment advisor? a. Their experience b. Whethe

Question

3 years ago

9

Which of the following is not something you should consider when evaluating an investment advisor? a. Their experience b. Whethe

r or not they are registered with FINRA c. Whether or not they are registered with the SEC d. Their educational background

Mathematics

2 answers:

mart [117] · Answer 1 · 2021-12-12T19:45:39+03:00

mart [117]3 years ago

8 0

Answer:

B

Step-by-step explanation:

ED2020

nadezda [96] · Answer 2 · 2021-12-12T17:45:02+03:00

Answer: Whether or not they are registered with FINRA.

Step-by-step explanation: When evaluating an investment advisor, it is important to evaluate their level of experience, educational background as it goes a long way in giving clients a clue of the advisors possible offering, knowledge and expertise. Additionally, an Investment advisor should be registered with the Security and Exchange Commission (SEC), which is a federal regulatory agency charged with making regulatory policies that aid investor protection and proper market functioning. Being registered with FINRA, Financial Industry Regulatory Authority is not really to be considered as it is a self regulatory body (that is non governmental) and the main rules and policies guiding the market are made by SEC.