WebAn investment adviser is a. firm or person. that, for compensation, engages. in the business of providing investment advice to others about the value of or about investing in securities – stocks, bonds, mutual funds, exchange traded funds (ETFs), and certain other investment products. and/or. WebInvestment Advisers must register electronically through the Investment Adviser …
SEC.gov Check Your Investment Professional
WebWelcome to the IARD TM website. This site provides investment adviser firms and representatives with a variety of information about the Investment Adviser Registration Depository (IARD) system. IARD is an electronic filing system that facilitates investment adviser registration, exempt reporting adviser filing, regulatory review, and the public ... WebIf you have had an issue with securities or an investment broker, adviser, or firm, you … keybank richmond wa
Guide to SEC Investment Adviser Registration - Vigilant LLC
WebIA Regulator Registration Status Date IA Georgia Investment Adviser Representative Approved 02/26/2024 IA Ohio Investment Adviser Representative Approved 01/21/2010 IA Texas Investment Adviser Representative Restricted Approval 11/30/2024 Branch Office Locations This individual does not have any registered Branch Office where the … WebAll RIA firms registered with the State of Georgia are required to pay annual registration fees for both the RIA firm and each IAR associated with the firm. The annual fees for Georgia are as follow: Investment Advisor: $250. Investment Advisor Representative (IAR): $250. FINRA Annual IAR Processing Fee: $15. WebMar 16, 2016 · About. Stuart Benjamin has been a financial consultant for over 38 years since graduating from the University of Georgia in 1977. … isjson function