Investment Advisor Representative
- Exam
- Not reported
- Education
- Not reported
- Experience
- Not reported
- Background check
- Not reported
Investment Adviser Representative means any individual employed by or associated with an investment adviser who makes any recommendation or otherwise renders advice regarding securities, manages securities accounts or portfolios of clients, determines which recommendations or advice regarding securities should be given, or supervises employees who perform any of the foregoing. Requirements: 1) Must submit initial application for registration. 2) Must submit proof of passing exams. 3) Must be registered in the resident state. Examinations Required. Initial regisration fee: $75.00, Renewal registration fee: $75.00
Requirements reported by the state
- Licence type
- Registry
- Military and veterans
- A temporary license available to military and spouses until formal license approval
Issuing body
- Department
- Arkansas Department of Commerce
- Address
- 1 Commerce Way Suite 402 Little Rock, AR 72202
- Phone
- (501) 324-9260
- Agency website
- www.securities.arkansas.gov
- Last updated
- June 28, 2022
Occupations (O*NET)
- Investment Advisor 13-2052.00
Source and verification
This record is Arkansas'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 Arkansas Department of Commerce — see the issuing body section above.
How we process this data. Not legal advice.