Mr. Pink's Picks: selected event-driven value investments Message Board

STOCKTALK

We've detected that you're using an ad content blocking browser plug-in or feature. Ads provide a critical source of revenue to the continued operation of Silicon Investor. We ask that you disable ad blocking while on Silicon Investor in the best interests of our community. If you are not using an ad blocker but are still receiving this message, make sure your browser's tracking protection is set to the 'standard' level.

Strategies & Market Trends : Mr. Pink's Picks: selected event-driven value investments

Public Reply Prvt Reply Mark as Last Read File

Previous 10 Next 10 Previous Next

To: Andrew H who wrote (10040)	6/24/1999 5:15:00 PM
From: BelowTheCrowd	Read Replies (2) of 18998

Andrew, You don't need a broker's license to give investment advice. You need one in order to purchase or sell securities on a client's behalf. Some brokerages encourage their brokers to provide advice. Others discourage or (as in the case of discount brokers) prohibit it entirely. It is possible to be a "financial advisor/consultant" without being a broker, or to be both simultaneously. In any case, no license is required for advice which is given: * In a public forum * With no compensation If you start charging people for your advice, different laws may apply. Advice in a newsletter or other "advisory service" is generally unregulated (and requires no license) but advice given one-on-one generall requires some sort of licensing. mg

Report TOU Violation

Share This Post

Public Reply Prvt Reply Mark as Last Read File

Previous 10 Next 10 Previous Next