What do you do? 


    This interactive tool presents a broad scope of issues to consider in selecting the legal/business model of your investment services activities. This tool also directs you to more detailed information concerning the applicable regulatory and compliance requirements and other matters. The activities are not mutually exclusive; your investment advisory practice may encompass several activities or business models.

    Securities Advice for Compensation
    If you or your firm provide securities advice for compensation, you may be functioning as an Investment Adviser, Investment Adviser Representative, Broker-Dealer or Registered Representative.

    Referral Arrangements
    If you or your firm refer clients to other financial professionals, you may be subject to regulation Solicitor/Referral or Referral without Fees.

    Other Advisory Activities
    If you or your firm are engaged in certain other advisory activities, you may be a Portfolio Manager, Financial Analyst or No Registration Triggered.

    Compensation Models
    Whether you are a Fee-Only Financial Adviser, Fee-Based Financial Adviser or Commission-Only Financial Adviser may determine how your advisory activities are regulated.


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