Investment Adviser Representative (IAR)
- Exam
- Not reported
- Education
- Not reported
- Experience
- Not reported
- Background check
- None
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, manages accounts or portfolios of clients, solicits, offers, or negotiates for the sale of or sells investment advisory services, or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities.
Requirements reported by the state
- Licence type
- Stand-alone license
- Certification
- No mention of certification
- Background check
- No criminal record requirements
Issuing body
- Department
- RI Department of Business Regulation
- Division
- Division of Securities
- Address
- 1511 Pontiac Ave Building 69-1 Cranston, RI 02920
- Phone
- (401) 462-9586
- Agency website
- https://dbr.ri.gov/insurance-banking-securities-and-charitable-organizations/securities-and-charities
- Licence page
- https://dbr.ri.gov/insurance-banking-securities-and-charitable-organizations/securities-and-charities
- Last updated
- August 10, 2023
Occupations (O*NET)
- Investment Advisor 13-2052.00
Source and verification
This record is Rhode Island's report to the Analyst Resource Center, published by CareerOneStop (October 2024 export). Everything shown comes only from that report.
Before you apply, confirm every detail with Division of Securities — see the issuing body section above.
How we process this data. Not legal advice.