Series 28: Investment Adviser Representative (IAR)

Taken from our Series 28 - Introducing Broker-Dealer Financial and Operations Principal Qualification Examination

Definition of the term Investment Adviser Representative (IAR)...

an individual employed by an investment adviser who makes recommendations, manages customer accounts, determines which advice should be given, sells investment advisory services, or supervises employees who perform any of the foregoing.

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Solomon Exam Prep Study Materials for the Series 28
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