registered investment advisor connecticut

Financial Advisors & Firms in Connecticut. The Women’s Choice Award Financial Advisor program was created by WomenCertified Inc., the Voice of Women, in an effort to help women make smart financial choices. The program is based on 17 objective criteria associated with providing quality.

registered investment advisor compliance trainings Investment Company Services; Products . Ascendant Compliance Manager;. Investment Advisers.. We provide compliance training through webcasts or on-site delivery on a variety of current regulatory focus topics for continuing education.

Broker vs. Registered Investment Advisor The state also boasts more than 2100 registered broker-dealers, more than 500 investment advisers, more than 125 publicly traded companies, and according to Forbes, more than 15 of Connecticut’s.

State of Connecticut Investment Advisor Registration Facts & Figures. While there are some exceptions, in general, investment advisors with less than $100 million in assets under management (AUM) that are located in Connecticut, have more than 5 clients in Connecticut, or actively solicit in Connecticut must register with the State of Connecticut as a Registered Investment Advisor (RIA).

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Investment Adviser: $315. Investment Adviser Representative: $100.. Branch offices must register in Connecticut and pay a fee of $100 (there is no renewal fee). V. De Minimis. An out-of-state IA is not required to register until it has more than 5 clients.

We act in your best interest because we’re an independent Registered Investment Advisor. Investor Education You’ll get trusted advice and ongoing education so you know what your investments are doing and why.

Mercury Capital advisors offers institutional investors, RIAs, family offices, aggregators, independent broker dealers, and other wealth advisers exclusive access to.

Investment Advisor Representative, Cambridge Investment Research Advisors Inc., A Registered Investment Advisor. Cambridge Investment Research Inc., and Connecticut Capital Management Group LLC are.

registered investment advisor suitability form If you are looking to engage an adviser who is registered with SEBI as Registered Investment Adviser (RIA), then you have to pay a fee to avail their services. They will help you prepare a financial.

Investment Advisory Registrant’s Certificate (Connecticut-based firms only) resources. connecticut uniform securities Act Regulations Under the Connecticut Uniform Securities Act. Investment Advisers Act of 1940 Securities Lawyer’s Deskbook (Univ. of Cincinnati College of Law) Examination Program (Books and Records Inspections) Investment.

For more information please visit About Hoya Capital Real Estate Hoya Capital Real Estate is a research-focused Registered Investment Advisor based in Rowayton, Connecticut..

Note: Investment information is provided for educational purposes only. Group variable annuity products are issued by American United Life Insurance Company ® (AUL) and registered group variable annuity products are distributed by OneAmerica Securities, Inc., Member FINRA, SIPC, a Registered Investment Advisor, 433 N. Capitol Ave., Indianapolis, IN 46204, (877) 285-3863, which is a wholly.