Registered Investment Advisor definition

Registered Investment Advisor. (RIA) shall mean the investment entity charged with the responsibility for recommending comprehensive and continuous investment advice for the Futuris Public Entity Investment Trust.

Registered Investment Advisor means an investment professional retained by an investor to provide advice regarding the investor’s overall investment strategy (not just an investment in the Units) and who is compensated by the investor based upon the total amount of the investor’s assets being managed by the investment professional.

Registered Investment Advisor means a major investment

Examples of Registered Investment Advisor in a sentence

• If opening your account through a Broker/Dealer or Registered Investment Advisor, please have them complete this section.

• Registered Investment Advisor (RIA) Code/ Portfolio Manager's Registration Number (PMRN)Mutual Fund ARN -Distributor ARNSub-Broker ARN -ARN CodeInternal Sub-Broker/ Employee CodeKey Partner/Agent Information Employee Unique Identification No. (EUIN)1.

• Distributors are advised to ensure that they fill in the RIA code, in case they are a Registered Investment Advisor.

• Customer understands that LMK does not act as a Registered Investment Advisor with respect to the purchase or sale of securities Customer may make, and that no fiduciary relationship exists.

• Funds kept on deposit in a brokerage firm must be managed by a Securities and Exchange Commission (SEC) Registered Investment Advisor (RIA) who is registered with the International Board of Standards and Practices for Certified Financial Planners (IBCFP).

More Definitions of Registered Investment Advisor

Registered Investment Advisor means shall mean any Registered Investment Advisor as defined by Securities and Exchange Commission regulations appointed by the Employer or Plan Administrator who has entered into a consulting or management agreement with the Employer for investing the Assets of the Trust.

Registered Investment Advisor means a major investment house or commercial bank that is subject to regulations by the

Registered Investment Advisor means a person(s) or group qualified and experienced in investment management and registered with the Financial Industry Regulatory Authority retained by the Tribes, as approved by Tribal Council Resolution, to manage the investments of all funds in the Endowment Investment Fund.

Registered Investment Advisor means any person or group that makes investment recommendations or conducts securities analysis in return for a fee, whether through direct management of client assets or via written publications and who is registered with the Financial Industry Regulatory Authority.

Registered Investment Advisor means shall mean any Registered Investment Advisor as defined by Securities and Exchange Commission regulations appointed by the Employer or Plan Administrator who has entered into a consulting or management agreement with the Employer for investing the Assets of the Trust. THE TRUST

Registered Investment Advisor means an investment advisor or an Investment Advisor Representative registered with the Securities and Exchange Commission, or a state securities agency in the U.S.A., or a securities agency of the District of Columbia, including any duly registered Investment Advisor Representative.

Registered Investment Advisor. (RIA) shall mean the investment entity charged with the responsibility for recommending to the Trustee comprehensive and continuous investment advice for the Futuris CHAFFEY CCD Investment Trust.