Investment Adviser Representative

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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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Securities and investment advisory are offered solely by Registered Representatives and Investment Adviser Representatives of Equity Services, Inc.
Because that article was specific to new investment adviser representatives ("IARs"), it focused on disclosure, licensing, registration, documentation and insurance matters.
The firm supports 1,710 independent advisors nationwide in serving their clients as registered representatives, investment adviser representatives, and registered investment advisers, as well as through hybrid service models.
In its announcement, OCIE noted that it would focus on the activities of the investment adviser representatives and registered representatives as needed-not just on their firms.
Launched a new Integrated Financial Services (IFS) division dedicated to serving the life insurance and security needs of Registered Investment Advisors (RIAs) and Investment Adviser Representatives (IARs);
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.
Co Disclosure of the advisor's compensation arrangements with investment adviser representatives
The firm supports more than 1,650 independent advisors nationwide in serving their clients as registered representatives, investment adviser representatives, and registered investment advisers, as well as through hybrid service models.
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.