Question

As defined in the Uniform Securities Act, an investment adviser is all of the following except:_______. 1. a broker-dealer who charges for investment advice 2. a publisher of a financial newspaper 3. a person who sells security analysis 4. a CPA who, as an incidental part of his practice, suggests certain tax-sheltered investments to his affluent clients

Answer 1

Answer:

A publisher of financial newspaper

A CPA who as an incidental part of his practice , suggests certain tax sheltered investment to his affluent client

Explanation:

An investment adviser is a firm that is registered for the business of making investment recommendations or conduct securities analysis by managing clients assets and advising on potential investment in securities.

A publisher of financial newspaper and a CPA who as an incidental part of his practice , suggests certain tax sheltered investment to clients are not qualified as investment advisers under the uniform securities act.