What Options Do I Have if I Have a Dispute with My Investment Advisor? What is the Role of Insurance in a Financial Plan?

IARD is an electronic filing system that facilitates investment adviser registration, exempt reporting adviser filing, regulatory review, and the public ... (1) ''Assignment'' includes any direct or indirect transfer or hypothecation of an investment advisory contract by the as- signor or of a controlling block of ... Every individual seeking to be registered as an investment adviser representative must meet the minimum qualification requirement. The primary way to meet this ... The definition of investment adviser in Rule 116.1 refers to a “person or company who, for compensation, … provides investment advice… .” Accordingly, so long ... Michigan Investment Adviser Representative (IAR) registration requires either the Series 65 examination, or the combination of a Series 66 examination and a ... Customized portfolios of individual stocks managed by a team of professionals, with tax-smart investing techniques built in. Check Before You Invest. Being an informed investor is one of your best defences against investment fraud. Although most investment advisers are honest and ... Welcome to the Investment Adviser Public Disclosure website ... For a complete compilation of Investment Adviser Firms currently registered with the SEC and ... General Licensure Information, Who needs to be licensed?, With whom do investment advisers and investment adviser representatives need to be licensed? SEIA DISCLOSURE Signature Estate & Investment Advisors, LLC (SEIA) is an SEC-registered investment adviser; however, such registration does not imply a certain ...