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.
