Investment Advisor Representative
IowaActive
This record was last updated on June 30, 2021, before 2022. It may be out of date — confirm with the board.
- Exam
- State + third-party exam
- Education
- Specific course
- Experience
- None
- Background check
- Not reported
An investment adviser representative is employed by or associated with an investment adviser (company) and makes recommendations or otherwise renders advice regarding securities. They solicit investment advisory services, negotiate for the sale of or sell investment advisory services and may also supervise employees who perform any of these functions.
Requirements reported by the state
- Licence type
- Tied to business
- Exam
- Both state and third-party exams required
- Education
- Specific course required
- Continuing education
- Continuing education required
- Certification
- Certification required
- Experience
- No experience
Issuing body
- Department
- Iowa Department of Commerce
- Division
- Division of Insurance
- Address
- 601 Locust Street Des Moines, IA 50309
- Phone
- (515) 242-5313
- Agency website
- https://iid.iowa.gov/regulated-individuals
- Last updated
- June 30, 2021
Occupations (O*NET)
- Investment Advisor 13-2052.00
Source and verification
This record is Iowa'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 Insurance — see the issuing body section above.
How we process this data. Not legal advice.