How Can an Investment Advisor Help Investors Make More Consistent Choices? What is the Reflection Effect?

5. An investment adviser must be solvent. 6. If an investment adviser based in Kentucky has custody of client funds or securities, then the adviser shall ... Michigan Investment Adviser Representative (IAR) registration requires either the Series 65 examination, or the combination of a Series 66 examination and a ... Getting Started as a Registered Investment Adviser. The Texas State Securities Board requires investment adviser applicants to submit registration forms and ... Every individual seeking to be registered as an investment adviser representative must meet the minimum qualification requirement. The primary way to meet this ... General Licensure Information, Who needs to be licensed?, With whom do investment advisers and investment adviser representatives need to be licensed? Requirements for registering as an investment adviser representative: Registration fee, Uniform Application for Securities Industry Registration, Form U-4. An investment adviser representative is a person employed by a state-registered or federal-covered investment adviser who makes any recommendations or ... PART 4. BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS. 30-14- ... 1.Is there a de minimis Rule for investment advisers? Answer: Yes. Generally, a person without a place of business in this state if the person has had, during ... We deliver innovative investment solutions, advanced financial analytics and market-leading indexes backed by time-tested quantitative and qualitative insights.