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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 ... Obtaining an Investment Advisor Business License. In order to sell investment products, financial advisors must obtain licensure. There are four types of ... 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 ... As fiduciary investment consultants, we combine decades of experience, solid investment management and unbiased insight to deliver highly customized strategies ... The Division requires all investment adviser firms and investment adviser representatives to register on the Investment Adviser Registration Depository (IARD) ... 405 pages. Language: English. Publisher: Nick Murray Co Inc. Publication date: November 1, 1996. Dimensions: 9.1 x 6.2 x 1.2 inches. Your advisor, your plan, your path forward – take on tomorrow with Merrill ... There are important differences between brokerage and investment advisory ... Search Investment Advisor Directory. The Investment Advisor Licensee Directory Search is an online tool provided by the Arkansas Securities Department that ... About Us. We at Frost Investment Advisors, a wholly owned subsidiary of Frost Bank, offer a family of diversified mutual funds and provide investment advisory ... Charitable Investment Advisor Program. The Charitable Investment Advisor Program at Fidelity Charitable allows eligible independent investment advisors to ...