Investment Adviser Representative
- Exam
- Not reported
- Education
- Not reported
- Experience
- Not reported
- Background check
- None
JOB DESCRIPTION: An investment adviser representative provides guidance to clients regarding the value of securities such as stocks and bonds. Duties of an investment adviser representative may include educating and counseling clients on the sale or purchase of securities. The representative also may analyze and report securities information to clients personally or through written communication. Investment adviser representatives are employed by business entities registered as investment advisers. Such firms may be independent investment adviser firms or dually-registered as broker-dealers.
Requirements reported by the state
- Licence type
- Stand-alone license
- Certification
- No mention of certification
- Background check
- No criminal record requirements
Issuing body
- Department
- Oklahoma Department of Securities
- Address
- 204 North Robinson Avenue Suite 400 Oklahoma City, OK 73102
- Phone
- (405) 280-7700
- Agency website
- https://www.securities.ok.gov/
- Licence page
- www.securities.ok.gov
- Last updated
- June 25, 2020
Occupations (O*NET)
- Investment Advisor 13-2052.00
Source and verification
This record is Oklahoma'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 Oklahoma Department of Securities — see the issuing body section above.
How we process this data. Not legal advice.