So you're an RIA. Be careful about calling yourself one, says the SEC
Beware of using the term as focal point for marketing; some states may have competing regulations
Cathy Vasilev
You also have to be very careful if you offer investment advisory services through an RIA that is not your firm. You can not say your firm “ABC Advisors” offers advisory services. The SEC and the states are particularly cognizant of this scenario. Quite often the advisor wants to say his firm offers these, but it’s considered false and misleading.
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November 18, 2022 at 2:56 AM
NCS Regulatory Compliance
Consulting Firm
Top Executive: Mark Alcaide, COO/Partner
