SEC Registered Advisory Service

Financial advisors must be an SEC registered advisory service. They do this because it is the law. What this shows is that the personal financial advisor that you are working with has no financial fraud on their record and they have no convictions. This is to ensure that you are working with a certified financial advisor with a sound record.

The last thing you want to do is do business with an advisor that does have fraud on their record because this means that you are dealing with someone who is not honest when you need honesty surrounding your money more than ever.

The service that you are working with is going to have your financial information in front of them, so you do need them to be honest. Being an SEC Registered Advisory Service offers you, the consumer, necessary protection.


When a financial advisor or other individual places anything in an ad other than the fact that they are an SEC Registered Advisory Service, then they are in violation of the law. They must also be subtle in their disclosure through ads that they are registered. If they make their registration the center of their advertisement, then the SEC can penalize them for doing so. If there is anything that implies anything beyond simple registration, fines can be paid and the registration can be lost. So it is best when an advisor is subtle in disclosing the fact that they are registered to avoid any issues with the SEC regarding how the info is relayed.

There are a number of reasons why the certified financial advisor and/or their firm should be registered with the SEC. There are certain transactions that cannot be carried out if the firm or individual is not registered with the SEC. If they are, then you know that you are dealing with a legitimate company.

Reason for Registration

You know that there are certain transactions that cannot be carried out. This is because there is very sensitive information that the advisor must manage. You don't want to trust your information and institutions do not want to trust information with financial advisors that have fraud on their record. And to truly be successful in the trading of the different types of securities that are available, registration is needed.

The Certified Financial Planner

When you are working with your certified financial planner, after finding that they are registered, you will provide them with financial information that is very personal to you. Your goal is to utilize their services in a way that you become more profitable.

Even if you feel that your financial situation will not allow you to save money, catch up your bills, or even invest, it is best for you to have someone on the outside take look at the inside. Having that outside point of view can help tremendously.

You will work together to create a solid financial plan and the two of you will manage that financial plan from then on. When you want to invest, you simply tell your financial advisor that you want to do so. This will make it possible for you. You outline all of your financial goals and then work together to make them happen. Those financial goals may be sending the kids to college, buying them cars, and even planning for your own retirement.

Although you are only going to make a certain amount of money in your lifetime, the important thing is that you can make the most of it. A certified financial planner who is also an SEC registered advisory service is going to help you make this possible.

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