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Investment Adviser Credentials

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Is There a State or Federal Law That Requires Investment Advisers to Have Credentials?

While some states require that investment advisers pass a proficiency exam or meet certain requirements, there is no law that says they have to have credentials. You will often come across investment advisers that have credentials, such as Certified Financial Planner (CFP) or Chartered Financial Analyst (CFA), but again these are not requirements.

 

Before you entrust your investment portfolio to a professional, make sure you are aware of his or her background and experience. You can view a list of things you should know about your investment adviser, by reading our article, What Do You Really Know About Your Investment Adviser?

 

Our law firm represents investors nationwide in securities arbitration and litigation. If you believe you have lost money due to investment fraud, contact an experienced securities fraud attorney at our office for a free case evaluation by calling toll-free (800) 738-1960 or filling out our online form.

Columbus Office

614-224-6000
305 W. Nationwide Blvd
Columbus, OH 43215
Meyer Wilson
New Orleans Office

900 Camp Street 
Suite 337
New Orleans, LA 70130
Los Angeles Office

310-905-8688
2029 Century Park East,
Suite 400N
Los Angeles, CA 90067
Cleveland Office

216-600-1355
4781 Richmond Rd.
Suite 400
Warrensville Heights, OH 44128
Bloomfield Hills Office

248-817-8214
41000 Woodward Ave.,
Suite 350
Bloomfield Hills, MI 48304
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The information contained in this Website is provided for informational purposes only, and should not be construed as legal advice on any subject matter. No recipients of content from this site, clients or otherwise, should act or refrain from acting on the basis of any content included in the site without seeking the appropriate legal or other professional advice on the particular facts and circumstances at issue from an attorney licensed in the recipient's state. Read More
The information contained in this Website is provided for informational purposes only, and should not be construed as legal advice on any subject matter.
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