Series 66: Definition Of Investment Adviser Representative

Taken from our Series 66 Online Guide

Definition of Investment Adviser Representative

Here’s the official definition of investment adviser representative from the Uniform Securities Act:

Any partner, officer, director of (or a person occupying a similar status or performing similar functions) or other individual employed by or associated with an investment adviser that is registered or required to be registered under this act, or who has a place of business located in this state and is employed by or associated with a federal covered adviser; and who does any of the following: (1) makes any recomme

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Albert Jose, AXA Advisors, Menifee, CA