![]() ![]() Investment Adviser Representative License InformationĪn investment adviser representative, as defined in Iowa Code section 502.102, is an individual employed by or associated with an investment adviser or federal covered investment adviser and who makes any recommendations or otherwise gives investment advice regarding securities, manages accounts or portfolios of clients, determines which recommendation or advice regarding securities should be given, provides investment advice or holds oneself out as providing investment advice, receives compensation to solicit, offer, or negotiate for the sale of or for selling investment advice, or supervises employees who perform these tasks.Įvery individual seeking to be registered as an investment adviser representative must meet the minimum qualification requirement.
0 Comments
Leave a Reply. |
AuthorWrite something about yourself. No need to be fancy, just an overview. ArchivesCategories |