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Registered Investment Adviser
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31	Contact: Joseph Giannone Communications & Public Affairs W: ( Add to Reading List Source URL: www.tdainstitutional.com Language: English - Date: 2016-06-27 14:33:42 Toronto-Dominion Bank TD Ameritrade Financial advisors Financial adviser Registered Investment Adviser
32	Item 1 – Cover Page ADVISED ASSETS GROUP, LLC Disclosure Brochure Online Advice & Professional Management Program 8515 East Orchard Road Greenwood Village, CO 80111 Add to Reading List Source URL: www.advisedassetsgroup.com Language: English - Date: 2016-04-14 16:59:22 Financial services Investment Institutional investors Financial markets Mutual fund Investment fund Investment management Discretionary Investment Management Pension Defined contribution plan Registered Investment Adviser Finance
33	July 27, 2005 Investment Guidance versus Investment Advice Mary Willett, CRA, CRC, Willett Consulting Many plan sponsors, both public and private sector, wrestle with the issue of providing Add to Reading List Source URL: www.nagdca.org Language: English - Date: 2014-05-21 09:07:08 Investment Financial services Financial markets Investment policy statement Pension Defined contribution plan Fiduciary Financial adviser 401 Investment fund Investment outsourcing Registered Investment Adviser
34	Looking after the wealth of our Anglo-American clients. LGT Vestra US is a specialist subsidiary of wealth management firm LGT Vestra LLP, set up specifically to help clients with financial Add to Reading List Source URL: www.lgtvestra-us.com Language: English - Date: 2016-06-17 04:26:08 Registered Investment Adviser Financial adviser Investment Financial services
35	ACQUIRING A LARGE SUM OF MONEY Q & A with Suzanne Wheeler, CFP®, AIF® Due to a variety of life circumstances, people sometimes find themselves acquiring a large lump sum of money through severance pay, a divorce settle Add to Reading List Source URL: www.marinerwealthadvisors.com Language: English - Date: 2016-03-06 21:33:33 Taxation in Canada Taxation in India Taxation in Israel Taxation in Norway Taxation in the United Kingdom Estate tax in the United States Tax Income tax Inheritance tax Finance Registered Investment Adviser Financial planner
36	NASAA Custody Requirements for Investment Advisers Model Rule 102(eAdopted April 3, 2000, Amended, , , * Rule 102(eCustody of Client Funds or Securities by Investment Advise Add to Reading List Source URL: nasaa.cdn.s3.amazonaws.com Language: English - Date: 2016-06-02 12:08:16 Investment United States securities law U.S. Securities and Exchange Commission 76th United States Congress Investment Advisers Act Financial adviser Investment fund Regulation S-X Securities Act Security Accredited investor Registered Investment Adviser
37	HOW TO REGISTER AS A CALIFORNIA REGISTERED INVESTMENT ADVISER California Department of Business Oversight 1515 K Street, Suite 200 Sacramento, CA 95814 Add to Reading List Source URL: www.dbo.ca.gov Language: English - Date: 2016-02-16 18:00:19 Economy Finance Money United States securities law Corporate crime U.S. Securities and Exchange Commission Uniform Investment Adviser Law Exam Financial adviser Patent application Financial Industry Regulatory Authority Broker-dealer Investment Advisers Act
38	NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, INC. 750 First Street N.E., Suite 1140 Washington, D.C0900 Fax: www.nasaa.org Add to Reading List Source URL: nasaa.cdn.s3.amazonaws.com Language: English - Date: 2015-08-12 13:54:13 Economy Finance Money United States securities law 76th United States Congress Investment Advisers Act Registered Investment Adviser U.S. Securities and Exchange Commission Financial adviser North American Securities Administrators Association Brian Hamburger
39	NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, INC. 750 First Street N.E., Suite 1140 Washington, D.C0900 Fax: www.nasaa.org Add to Reading List Source URL: nasaa.cdn.s3.amazonaws.com Language: English - Date: 2015-11-03 14:35:23 Economy Financial regulation Finance Tax evasion Terrorism Money Money laundering Financial Crimes Enforcement Network United States Department of the Treasury Bank Secrecy Act Registered Investment Adviser Suspicious activity report
40	PMAC Fiduciary_FINAL_Print.indd Add to Reading List Source URL: 10462-presscdn-0-70.pagely.netdna-cdn.com Language: English - Date: 2015-07-30 15:03:42 Economy Finance Money Investment Financial services Investment policy statement Fiduciary Investment management Duty of loyalty Registered Investment Adviser Personal fiduciary services