Most states follow a definition of
investment adviser representative similar to that in the Uniform Securities Act.
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.
If I am an
investment adviser representative OAR), am I protected when a client uses funds from a security to buy an FIA?
Tom Greider has joined Roehl & Sittner Investment Advisors LLC as an
investment adviser representative.
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.
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.
AN INCREASING NUMBER OF INDEPENDENT AGENTS are evaluating whether to set up a registered investment adviser (RIA) firm or become an
investment adviser representative (IAR) of an existing RIA firm.
In addition to creating a public disclosure void, the lack of an
investment adviser representative registration regime also creates a unique registration obligation for "mid-sized" advisory firms in New York that have between $25 million and $100 million in regulatory assets under management.
