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An investment adviser representative is a person employed by a state-registered or federal-covered investment adviser who makes any recommendations or ... "Federal covered adviser" means an investment adviser registered under the investment advisers act of 1940. 4. "IARD" means the investment adviser ... An investment adviser is a that, for compensation, engages and/or Advisers typically provide ongoing advice about buying, selling and/or holding investments. ... investment advisers, investment adviser representatives, or general securities violations. OFFICIAL ONLINE RESOURCES. In addition to using our toll-free ... An investment adviser cannot sell securities but acts more like a consultant, giving advice on what securities a person should invest in. We have a long history of serving the public. Beginning in April 1869 with the appointment of the first Secretary of the Territory of Wyoming, Edward M. Lee. Feb 13, 2024 ... Investment advisors follow a "fiduciary standard," while broker-dealers follow a "suitability standard" or "best interest standard." PART 4. BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS. 30-14- ... No person shall transact business in the District as an investment adviser or as an investment adviser representative unless the person is licensed, or exempt ... Investment Adviser Firms or Professionals · The Form ADV Part 1 must be submitted via the IARD with the "Oklahoma" Box checked. · an annual fee of $300.00, paid ...