Investment Adviser Representative

Investment Adviser Representative

Any person who is employed by an investment adviser and assists him/her in making recommendations and other decisions for clients. An investment adviser representative must ordinarily possess a Series 65 license.
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The Texas Tribune's Jay Root wrote in April of last year about Paxton's failure to register as an investment adviser representative before steering his law clients to an investment firm in return for commissions.
Eastburn is FINRA Series-7 registered and an investment adviser representative.
On the same day, regulators at the Arkansas Securities Department asked Commissioner Heath Abshure to revoke Madison's broker-dealer and investment adviser representative registrations.
Tom Greider has joined Roehl & Sittner Investment Advisors LLC as an investment adviser representative.
NASDR will release the state investment adviser representative licensing system.
It is not immediately clear how the Paxton campaign will resolve regulatory filings related to his work as an investment adviser representative.
Hammond of Auburn has been named financial consultant and investment adviser representative at the office.
Huck held himself out as an investment adviser representative, without benefit of registration.
com)-- Gene is licensed as an Investment Adviser Representative under the State of Connecticut, Department of Banking.
In addition to his role at Solutions Advisory Services, LLC and as an investment adviser representative of Royal Fund Management, Michael is also partner with his wife Cheryle of Solutions Money Management where he provides Insurance, Tax Preparation, Divorce Financial Planning, and Business Services for individual and small business clients.
Program members are kept informed with printed progress reports, and employees can speak to an Investment Adviser Representative if they have any questions or would like to personalize their portfolios further.
He holds NASD Series 7 and 63 registrations and is a Series 65 Investment Adviser Representative.