what is an sec registered investment advisor

The search for the right adviser for you is worth it. Argent Advisors Inc. is an SEC registered investment adviser. A copy of our current written disclosure statement discussing our advisory services.

As an investor, you can get solid advice from either a broker-dealer or a registered investment advisor. The key is to understand the different ways each will behave and to anticipate some of the.

Choosing a financial professional is an important decision. This updated Investor Bulletin provides a few key tips to help you make a well-informed choice. A number of questions you should consider asking before you hire a financial professional are listed at the end of this Bulletin.

Introduction On July 1, 2010, the Securities and Exchange Commission (the "SEC" or "Commission") adopted Rule 206(4)-5 (the "Rule") under the investment advisers act of 1940 (the "Advisers Act") to address "pay-to-play" practices under which direct or indirect payments by investment advisers to state and local government officials are perceived to improperly influence the award of government.

For Investment Advisers registered by the north dakota securities department, filings will be accepted through the Investment Advisory registration depository (iard). For more information on how to file though the IARD, check the IARD website at www.iard.com .

or is affiliated with another sec registered firm, or is the adviser to a mutual fund, to name a few. In addition to being registered with the SEC, the firm then must consider what states it will be doing business in. Notice Filing is the term used for filing in states when the firm is SEC registered.

A Relying Adviser is an investment adviser registered with the SEC that relies on a filing adviser to file (and amend) a single umbrella registration on its behalf. X * May not apply to all states.

You can check candidates’ background on BrokerCheck, which maintains an industrywide database of financial advisors who are also brokers. You can also request a copy of the advisor’s Form ADV, which.

licenses/licensed as an iar of a registered investment advisor (ria) with my state or the sec "My. investment advisory in nature," she said. But the demise last year of the broker-dealer exemption rule made that illegal unless a registered representative obtains a license as an investment.tamp and sec registered investment advisor About Prosperity Capital Advisors. Prosperity Capital Advisors is a planning-first, SEC registered investment adviser (RIA) that equips advisors with an array of fee-based financial planning and investment solutions to meet their individual clients’ unique needs.

Investment Advisers. You can get background information on both SEC- and state-registered investment advisers by using FINRA BrokerCheck or calling us toll-free (800) 289-9999.You can also get background information by visiting the SEC’s Investment Adviser Public Disclosure database.

sec online registered investment advisor Investment Advisers. You can get background information on both SEC- and state-registered investment advisers by using FINRA BrokerCheck or calling us toll-free (800) 289-9999.You can also get background information by visiting the SEC’s Investment Adviser Public Disclosure database.