Investment adviser representative definition

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:

Investment adviser representative means an individual

Investment adviser representative means an individual employed by or associated

Examples of Investment adviser representative in a sentence

• Applicable Disclosure Documents will be provided to you upon inception of your Advisory Account and can be accessed at xxx.xxxxxxxxxxxx.xxx/xxxxx-xxxxxxxxxxx, or through your Investment Adviser Representative.

• Neither Adviser, your Investment Adviser Representative, nor any Xxxxxxx Xxxxx entity will take any action with respect to the voting of proxies on your behalf.

• Factors involved in such negotiation may include the size of your Account, Adviser’s policy with respect to discounts, and your relationship with your Investment Adviser Representative.

• In AMS Managed Account Programs, you may request reasonable investment restrictions through your Investment Adviser Representative, which may include that AMS or Manager, as applicable, place certain industry or product type investment restrictions on your Account.

• You understand that the Fee includes compensation paid to Adviser, your Investment Adviser Representative, any Subadvisers, including AMS and Managers, if applicable, and RJA for RJA’s execution, custodial, and administrative services.

More Definitions of Investment adviser representative

Investment adviser representative means a partner, officer, director of, or a person occupying a similar status or performing similar functions, or other individual, except clerical or ministerial personnel, who:

Investment adviser representative means a supervised person of an investment adviser, provided that the supervised person has more than five clients who are natural persons other than excepted persons defined in division (EE) of this section, and that more than ten per cent of the supervised person's clients are natural persons other than excepted persons defined in division (EE) of this section. "Investment adviser representative" does not mean any of the following:

Investment adviser representative for a federal covered adviser means any individual with a place of business in this state who is an "investment adviser representative" as defined by the securities and exchange commission in rule 203A-3 promulgated under the federal "Investment Advisers Act of 1940".

Investment adviser representative means any part- ner, officer, director, or a person occupying similar status or performing similar functions, or other individual, who is employed by or associated with an investment adviser, and who does any of the following:

Investment adviser representative means any partner, officer, director or person occupying a similar status or performing a similar function, or other individual, except clerical or ministerial per- sonnel, who is employed by or associated with:

Investment adviser representative means an individual employed by or associated with an investment adviser

Investment adviser representative means any person, including, but not limited to, a partner, officer, or director, or a person occupying a similar status or performing similar functions, or other individual, except clerical or ministerial personnel, who is employed by or associated with an investment adviser registered under this act, or who has a place of business located in this State and is employed by or associated with a person registered or required to be registered as an investment adviser under section 203 of the "Investment Advisers Act of 1940," 15 U.S.C. s.80b-3; and who does any of the following: