Legal Question in Business Law in California

Naming an investing Company

I currently have an investment company which I run through my corporation. I am looking to file a DBA and I wanted to know if there are any restrictions in forming a name. The name that I plan to file has the word ''Investments'' in it. I heard that I could not use the word investment in the name unless I wass licensed or certified. I would like to know if it is ok to file the business name with the word Investments in it?


Asked on 8/12/08, 3:56 pm

1 Answer from Attorneys
Bryan Whipple Bryan R. R. Whipple, Attorney at Law

Re: Naming an investing Company

I think you have the cart before the horse. Instead of wondering whether you can use "Investment" or "Investing" as part of your business name, you should be worrying about whether you can lawfully run the business at all, under any name. You need to pass an examination and obtain a license before you can buy, sell or trade securities as a business, using other people's money, irrespective of what name you give the business, and the definition of "securities" is VERY broad and goes well beyond stocks, bonds and commodities contracts.

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Answered on 8/12/08, 10:18 pm


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