Registered investment advisor requirements
[DOCX File]Local Trust Template
https://info.5y1.org/registered-investment-advisor-requirements_1_57b311.html
Any investment advisor who is registered in the state in which it maintains its principal place of business shall file with the commission at its Division of Securities and Retail Franchising any financial …
Registered Investment Advisor - RIA
Arkansas Registered Investment Adviser Representative Registration Requirements "Representative" The term "Representative" shall mean any employee, or other person associated or connected with the investment advisor …
[DOC File]Arkansas Securities Department
https://info.5y1.org/registered-investment-advisor-requirements_1_13cfc1.html
The provisions of this rule shall not apply to an investment adviser whose principal place of business is located in a State other than Arkansas, provided that the investment adviser is registered or licensed as an investment adviser in such State and is in compliance with the net capital requirements …
[DOC File]Arkansas
https://info.5y1.org/registered-investment-advisor-requirements_1_372371.html
Registered Investment Advisor ” shall mean shall mean any Registered Investment Advisor as defined by Securities and Exchange Commission regulations appointed by the Employer or Plan …
[DOC File]Volume 19, Issue 23
https://info.5y1.org/registered-investment-advisor-requirements_1_2fd22b.html
A qualifying investment advisor must be a registered investment advisor under the Investment Advisors Act of 1940, or a bank or insurance company similarly registered. Investment advisors must …
[DOCX File]Firemen’s Annuity & Benefit Fund of Chicago
https://info.5y1.org/registered-investment-advisor-requirements_1_f58f3d.html
Registered Investment Advisor shall mean shall mean any Registered Investment Advisor as defined by Securities and Exchange Commission regulations appointed by the Employer or Plan Administrator …
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