Investment Adviser Representative Archives - Aronoff, Rosen & Hunt, LPA

June 26, 2019

What is an Investment Adviser Representative?

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By: Daniel A. PerryAn Investment Advisor Representative, depending on the state, is a person who 1) makes any recommendations regarding securities, (2) manages accounts of clients, (3) determines which recommendation or advice regarding securities should be provided, (4) solicits or sell investment advisory services, or (5) supervises employees who perform any of the above items.Just […]