What is a Registered Investment Advisor Representative?
A Registered Investment Advisor Representative is employed by or associated with a Registered Investment Advisor. A Representative would be any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities to others for compensation.
Related Questions
- Can I purchase coverage for my activities as a registered investment advisor representative (Series 65) and, if so, how much does it cost?
- Can I be registered as an investment advisor representative with two registered investment advisor firms at the same time?
- What Does an Investment Advisor Representative Do?
