Adviser Representative definition

Adviser Representative means an individual affiliated with an Adviser who provides investment advisory services. A sole proprietor may simultaneously be an Adviser and an Adviser Representative.
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Adviser Representative means (a) as of the date hereof, each of the individuals whose names are set forth on Section 1.1(c) of the Disclosure Schedule, and (b) as of any other date following the date hereof, each employee of the Seller and its Affiliates whose primary responsibility is the provision of brokerage and investment services to customers of the Business and that is designated as an “adviser representative” by the Seller, the Company or any of their respective Affiliates and whose names are set forth on Section 1.1(c) of the Disclosure Schedule (with such Disclosure Schedule to be updated by the Seller in the ordinary course of business). Solely for purposes of the definition of “Aggregate 2015 FY GDC,” the term “Adviser Representative” shall include any Person employed by the Company, the Seller or any of the Relevant Affiliates as of December 31, 2015 whose primary responsibility at such time was the provision of brokerage and investment services to customers of the Business and that was, at such time, designated as an “adviser representative” by the Company, the Seller or any of their respective Affiliates, as applicable.
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Examples of Adviser Representative in a sentence

  • Registered Representatives of NPC may transact securities business in a particular state only if first registered, excluded or exempted from Broker-Dealer, agent or Investment Adviser Representative requirements.

  • Licensed General Securities Representative (Series 7), Licensed Investment Adviser Representative (Series 65), or Licensed Private Securities Offerings Representative (Series 82) certifications.Under Rule 251 of Regulation A, non-accredited, non-natural investors are subject to the investment limitation and may only invest funds which do not exceed 10% of the greater of the purchaser’s revenue or net assets (as of the purchaser’s most recent fiscal year end).

  • In addition, follow-up conversations or meetings with individuals in a particular state that involve either the effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made absent compliance with state Broker-Dealer, agent or Investment Adviser Representative registration requirements, or an applicable exemption or exclusion.

  • Licensed General Securities Representative (Series 7), Licensed Investment Adviser Representative (Series 65), or Licensed Private Securities Offerings Representative (Series 82) certifications.Table of ContentsUnder Rule 251 of Regulation A, non-accredited, non-natural investors are subject to the investment limitation and may only invest funds which do not exceed 10% of the greater of the purchaser’s revenue or net assets (as of the purchaser’s most recent fiscal year end).

  • Client hereby acknowledges receipt of Adviser's Disclosure Statement, (Part 2A and 2B of the Form ADV for Adviser and the Adviser’s Investment Adviser Representative, respectively) as required by Rule 204-3 under the Advisers Act.

  • Rule 6.13 Investment Adviser Representative: Registration, Renewal, and Withdrawal Requirements.

  • Licensed General Securities Representative (Series 7), Licensed Investment Adviser Representative (Series 65), or Licensed Private Securities Offerings Representative (Series 82) certifications.Under Rule 251 of Regulation A, non-accredited, non-natural investors are subject to the investment limitation and may only invest funds which do not exceed 10% of the greater of the purchaser's revenue or net assets (as of the purchaser's most recent fiscal year end).

  • The term Financial Adviser refers to an Independent Investment Adviser Representative as defined in terms of the Securities Act 2010.

  • Obtaining your authority by SMS, email or verbal confirmationWe may notify you of, or seek authority for, certain transactions completed by you or your Adviser Representative using either SMS, email or verbal confirmation.

  • Investment Adviser and Investment Adviser Representative Licensing Requirements.

Related to Adviser Representative

  • Purchaser Representative means any person who satisfies all of the following conditions or who the issuer reasonably believes satisfies all of the following conditions:

  • Investment adviser representative means an individual employed by or associated with an investment adviser or federal covered investment adviser and who makes any recommendations or otherwise gives investment advice regarding securities, manages accounts or portfolios of clients, determines which recommendation or advice regarding securities should be given, provides investment advice or holds herself or himself out as providing investment advice, receives compensation to solicit, offer, or negotiate for the sale of or for selling investment advice, or supervises employees who perform any of the foregoing. The term does not include an individual who:

  • Member Representative means an individual who can make OHP-related decisions for a member who is not able to make such decisions themselves.

  • Advisory representative means any Supervised Person, who in connection with his or her regular functions or duties, normally makes, participates in, or otherwise obtains current information regarding the Purchase or Sale of a Security by the Firm, or whose functions relate to the making of any recommendations with respect to such purchases or sales, and any natural Person in a Control relationship to the Firm who obtains information concerning recommendations made concerning a Purchase or Sale of a Security. This definition includes but is not limited to the following: partner, officer, Manager, investment person, Portfolio Manager and any other Supervised Person of the Firm designated as an “Advisory Representative” from time to time by the Review Officer.

  • Buyer Representatives has the meaning set forth in Section 4(e).

  • Supplier Representative means the representative appointed by the Supplier from time to time in relation to this Framework Agreement;

  • Shareholder Representative has the meaning set forth in the preamble.

  • Issuer Representative means the person or persons at the time designated to act on behalf of the Issuer by written certificate furnished to the Company and the Trustee containing the specimen signatures of such person or persons and signed on behalf of the Issuer by its duly authorized agent. Such certificate may designate an alternate or alternates.

  • Independent representative means a person who:

  • Seller Representative means Xxxxx Bank.

  • Owner Representative means that Person or Persons designated by Owner in a written notice to Contractor who shall have complete authority to act on behalf of Owner on all matters pertaining to the Work, including giving instructions and making changes in the Work. The Owner Representative as of the Contract Date is designated in Section 4.9.

  • Holder Representative has the meaning specified in Section 11.1.

  • Lenders’ Representative means the person duly authorised by the Senior Lenders to act for and on behalf of the Senior Lenders with regard to matters arising out of or in relation to this Agreement, and includes his successors, assigns and substitutes;

  • Stockholder Representative has the meaning set forth in the preamble.

  • Holders’ Representative means the representative of the Holders named in the preamble, until a successor Holders’ Representative shall have become such pursuant to the applicable provisions of this Agreement, and thereafter “Holders’ Representative” shall mean such successor Holders’ Representative.

  • Investor Representative has the meaning assigned to such term in Section 2.1(a).

  • Seller Representatives has the meaning set forth in Section 5.8(a).

  • Customer Representative means the representative appointed by the Customer from time to time in relation to the Contract;

  • Shareholders’ Representative has the meaning set forth in the Preamble.

  • Note Holder Representative means a Controlling Note Holder Representative or a Non-Controlling Note Holder Representative, as applicable.

  • Stockholders’ Representative has the meaning set forth in the Preamble.

  • Engineer’s Representative means the official in the civil/ electrical engineering department who is authorized to be in-charge of the work to which these presents relate. It shall include any other official nominated to attend to the supervision of day to day execution of the work to which this CONTRACT relates.

  • Sellers’ Representative has the meaning set forth in the Preamble.

  • Industry representative means an individual who is compensated by

  • public representative means an individual who is not a member, former member, student or former student of any accounting body;

  • Company Representative means the person or persons appointed and approved in writing from time to time by the Company to act on its behalf for overall co- ordination.