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Do investment advisors and investment advisor representatives have to be licensed with the Division?

April 26, 2017advisor advisors division Investment licensed Representatives

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Do investment advisors and investment advisor representatives have to be licensed with the Division?

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The Division provides oversight of investment advisors and investment advisor representatives operating in Ohio. The Ohio Securities Act provides for the licensing of advisors, exceptions therefrom, and notice-filing requirements (Revised Code 1707.141), and the licensing of investment advisor representatives with a place of business in Ohio (Revised Code 1707.161).