The universe of investment professionals can be distilled into two basic types: registered representatives (in the past more commonly known as brokers) and investment adviser representatives
. Individuals associated with a broker-dealer are commonly referred to as "registered reps." They are subject to FINRA's licensing requirements and to both FINRA and SEC oversight.
Securities and investment advisory are offered solely by Registered Representatives and Investment Adviser Representatives
of Equity Services, Inc., Member FINRA/SIPC, Rosetree Building I, 1400 N.
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.
We work for an international independent financial advisory organisation and are licensed as investment adviser representatives
by Zambia's Securities and Exchanges Commission.
Financial Engines is making its investment adviser representatives
available to more customers.
* 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
"We are independent investment adviser representatives
. We get paid for our advice, and we help our clients to make sound investment decisions without the obligation to buy a particular product.
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.
These are more accurately referred to as "investment adviser representatives
" of a "registered investment adviser" (RIA) firm.
"Some states require you to register your solicitors as investment adviser representatives
, although the SEC doesn't," he says.