Investment Adviser Representative

(redirected from Investment Adviser Representatives)

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.
Mentioned in ?
References in periodicals archive ?
Today Cambridge supports approximately 2,700 independent financial professionals nationwide who serve their clients as registered representatives and investment adviser representatives, choosing to use either Cambridge's firm Registered Investment Advisor or their own.
8221; The firm supports approximately 1,600 independent advisors nationwide in serving their clients as registered representatives, investment adviser representatives, and registered investment advisers, as well as through hybrid service models.
We are independent investment adviser representatives.
Expanding the search functions of BrokerCheck and IAPD to permit searches for broker-dealers, investment advisers, registered representatives and investment adviser representatives, based on ZIP code or other indicator of location.
Some states require you to register your solicitors as investment adviser representatives, although the SEC doesn't," he says.
E*TRADE Capital Management's investment adviser representatives may be dually registered representatives of E*TRADE Securities, a registered broker-dealer and E*TRADE Capital Management, an SEC registered investment adviser.
The Department of Banking and Securities regulates more than 200 state-chartered banks, trusts, and credit unions; licenses more than 17,000 non-bank lenders, including mortgage brokers, originators and lenders; auto sales finance companies; debt management companies; debt service companies; check cashers; pawnbrokers; and money transmitters; and registers more than 200,000 broker-dealers, securities agents, investment advisers and investment adviser representatives who conduct securities-related business in Pennsylvania.
8221; The firm supports more than 1,487 independent advisors nationwide in serving their clients as registered representatives, investment adviser representatives, and registered investment advisers, as well as through hybrid service models.
a broker-dealer, CPAs can become registered representatives; Terra Insurance Services allows affiliates to sell insurance products; and Terra Financial Planning Group is a registered investment adviser that enables CPAs to become investment adviser representatives, working on fee-based investments.
To help clients comply with Part 2B, the brochure supplement used for investment adviser representatives, RegEd has also launched an innovative electronic solution that integrates with existing representative data to efficiently create consistent brochure supplements.
Through one portal, SMP provides Signator's qualified investment adviser representatives (IARs) access to eleven well-known advisory service providers and their managed account portfolios.
prepared two flowcharts to help clients determine when state or SEC registration and regulation applies and when circumstances warrant the registration of investment adviser representatives at the state level.