Investment Adviser/Representative
- Exam
- Not reported
- Education
- Not reported
- Experience
- Not reported
- Background check
- None
The definition of Investment Adviser includes any person who, for compensation, advises others about securities, their value, and/or their purchase and/or sale. An investment adviser representative includes any person who on behalf of the investment adviser recommends or renders advise regarding securities, manages accounts or portfolios of clients, determines which recommendation or advice regarding securities should be given, solicits, offers or negotiates for the sale or sells advisory services, or supervises employees who perform these services
Requirements reported by the state
- Licence type
- Stand-alone license
- Certification
- No mention of certification
- Background check
- No criminal record requirements
Issuing body
- Department
- Securities Division, Office of the Secretary of the Commonwealth
- Address
- One Ashburton Place Room 1701 Boston, MA 02108
- Phone
- (617) 727-3548
- Agency website
- http://www.sec.state.ma.us/sct/sctidx.htm
- Last updated
- May 9, 2018
Occupations (O*NET)
- Investment Advisor 13-2052.00
Source and verification
This record is Massachusetts'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 Securities Division, Office of the Secretary of the Commonwealth — see the issuing body section above.
How we process this data. Not legal advice.