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April 24, 2018
The proposed SEC Regulation Best Interest package would prohibit broker-dealers and their associated persons from referring to themselves as either “advisor” or “adviser” unless they are specifically also registered as investment advisors with the SEC. Are you willing to part with your advisor/adviser title?
|I don't know|
|I'm ambivalent. I can call myself wealth manager, or financial planner, or whatever else I want anyway!|
Cetera Financial Group
U.S. Global Investors Funds
|The Client - Finding and winning new clients||The Client - Client retention|
|The Client - ERISA plans/institutional management||The Client - Behavioral finance|