Close
Guarantees
1. The US Govt
2. An Insurance Company
3. A parent company
No an agent is not allowed to make these as it relates to the performance of funds or securities. Only US Govt, Insurance Company or a Parent Company.
Institutional Investor
Institutional Investor
Pension funds, mutual funds, money managers, insurance companies, investment banks, commercial trusts, endowment funds, and some hedge funds.
institutions, institutional investors and banks
Investment Advisor Representative
1..people who perform only clerical or ministerial acts
2.agent whose performance of investment advice is solely incidental to the individual acting as an agent and who does not receive compensation for investment advisory services (LATE)
3. people employed by or associated with a federal covered investment.
If an investment adviser is registered with the SEC, the states may not require registration, licensing, or qualification of the investment adviser or its supervised persons, except that states may license, register, or otherwise qualify investment adviser representatives who have a place of business located within that state
IAR
IA
