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What is an "ADV"?

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What is an "ADV"?

In order for an individual to be registered with the Securities and Exchange Commission, they have to complete a form. That form is called the ADV. There's a part of that ADV form that's in schedules that registered investment providers are required to give to their clients, and that ADV is going to list conflicts of interest and how they're compensated. It's going to provide a lot of the detailed information that you want to find out about a financial planner. If the investment professional doesn't have an ADV, then that's a clear sign they're not registered with the SEC, that they're actually registered with the NESD and they're a stockbroker.

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What is an "ADV"?

What is an "ADV"?

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