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How do I register as an RIA in Illinois?

Application for registration as a state-registered investment adviser is initiated through the filing of Form ADV on the Investment Adviser Registration Depository (IARD). State-registered investment advisers must file annually through the IARD system to renew their registration with the Illinois Securities Department.

What is the difference between an agent and an investment advisor representative?

An investment adviser cannot sell securities but acts more like a consultant, giving advice on what securities a person should invest in. In addition, a broker-dealer/agent is typically paid a commission based on each buy or sell transaction for a security.

What is the difference between an investment adviser and an investment adviser rep?

Common names for investment advisers include asset managers, investment counselors, investment managers, portfolio managers and wealth managers. Investment adviser representatives are individuals who work for and give advice on behalf of registered investment advisers.

What does an investment advisor representative do?

An investment adviser representative generally is a person who, for compensation (1) makes any recommendations or otherwise renders advice regarding securities; (2) manages accounts or portfolios of clients; (3) determines which recommendation or advice regarding securities should be given; (4) solicits, offers, or

What is the difference between a registered representative and an investment advisor?

Registered representatives differ from registered investment advisors (RIAs). Registered representatives are governed by suitability standards while registered investment advisors are governed by fiduciary standards. Registered representatives are transaction-based service providers.

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What is an investment adviser representative in Illinois?

An investment adviser representative is a person employed by a state-registered or federal-covered investment adviser who makes any recommendations or otherwise renders advice regarding securities; manages accounts or portfolios of clients; determines what recommendations or advice regarding securities should be given;

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