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Registered Investment Advisor
I am registered with the SEC under the Investment Advisors Act of 1940 or with a state securities commission, or I am exempt from registration under SEC rules and regulations. I am a fiduciary. I am not a registered representative employed by a broker/dealer.
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I am a registered representative of a broker/dealer firm that is registered with the SEC and is a member of FINRA.
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I work for a bank and manage portfolios on behalf of clients within the brokerage, private wealth, family office, foundation and endowment, or pension groups.
Institutional Investor
I manage portfolios on behalf of, or otherwise represent, an organization or entity, including banks, savings and loans, insurance companies, registered investment companies, governmental entities, employee benefit or qualified plans, and/or any other entity with total assets of at least $50 million.
Individual Investor
I manage my own portfolio.

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