
Dual Registration as an Investment Adviser Representative and Form
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People also ask
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What is a dually registered investment advisor?
The term “dual registrants” refers to financial professionals who are registered both as an investment adviser representative and as a registered representative of a broker-dealer.
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Is it acceptable for a person to be simultaneously registered as an investment adviser representative and an agent of a broker-dealer?
An investment adviser representative (IAR) cannot, under any circumstances, be employed by a registered broker-dealer. A broker-dealer or investment adviser can be either a natural person (i.e., organized as a sole proprietorship) or a legal person (i.e., a corporation or partnership).
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What is the difference between registered representative and investment advisor representative?
Registered representatives differ from registered investment advisors (RIAs). Registered representatives are governed by suitability standards while registered investment advisors are governed by fiduciary standards. 16 Registered representatives are transaction-based service providers.
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Can an investment advisor representative be a dual registrant of multiple firms?
A dual registrant is an individual investment advisor who is registered to multiple investment firms. Most states allow individuals to be dually registered to multiple firms, but there are some states which do not allow this practice including Alaska, Mississippi, Nebraska, Oregon, South Carolina, Utah, and Virginia.
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