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.
Mentioned in ?
References in periodicals archive ?
Under the proposed budget, agent registration fees would go up from $60 to $125, broker-dealer registration fees would go from $300 to $450, investment adviser registration fees would go from $200 to $375 and investment adviser representative fees would go up from $50 to $130.
I primarily act as an investment adviser representative (IAR).
The Hawaii Department of Commerce and Consumer Affairs (DCCA) Commissioner of Securities, Ty Nohara (Commissioner), issued an Order summarily suspending the registrations of Ron Niederpruem, LLC dba Ron Niederpruem, as an investment adviser, and Ronald Niederpruem, as an investment adviser representative due to the ongoing violations of state securities laws.
LVB: What credentials and licenses have to be obtained to become an investment adviser representative, Certified Financial Planner or asset manager?
Most states follow a definition of investment adviser representative similar to that in the Uniform Securities Act.
He was indicted late last summer on charges of securities fraud and failing to register as an investment adviser representative before acting as one.
A financial adviser then has an economic incentive to encourage an investor to roll plan assets into an IRA that he will represent as either a broker-dealer or 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.
Pinkans, CFA, is senior vice president-marketing for Zenith Marketing Group with headquarters in Freehold, N.J., and a registered representative and investment adviser representative for ING Financial Partners, Inc.
Tom Greider has joined Roehl & Sittner Investment Advisors LLC as an investment adviser representative. He is a former owner of Willow Creek Tennis & Sports Center.
The attorney might then associate as an investment adviser representative with an established RIA firm.
NASDR will release the state investment adviser representative licensing system.

Full browser ?