Securities-Investment Adviser
- Exam
- Not reported
- Education
- Not reported
- Experience
- Not reported
- Background check
- Not reported
Securities/investment adviser is 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, or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities. "'Investment adviser' also includes financial planners and other persons who, as an integral component of other financially related services, provide the foregoing investment advisory services to others for compensation and as part of a business or who hold themselves out as providing the foregoing investment advisory services to others for compensation."
Requirements reported by the state
- Licence type
- Registry
- Military and veterans
- Military and spouses are exempt from licensure requirements
Issuing body
- Department
- Utah Department of Commerece
- Division
- Utah Division of Securities
- Address
- 160 East 300 South 2nd Floor PO Box 146760 Salt Lake City, UT 84114
- Phone
- (801) 530-6600
- Agency website
- http://www.securities.utah.gov/
- Licence page
- http://www.securities.utah.gov/
- Last updated
- July 19, 2024
Occupations (O*NET)
- Investment Advisor 13-2052.00
- Securities Agent 41-3031.00
Source and verification
This record is Utah'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 Utah Division of Securities — see the issuing body section above.
How we process this data. Not legal advice.