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Investment Advisor Representative
The Uniform Securities Act defines an investment advisor representative as an individual employed by or associated with an investment advisor or federal-covered investment advisor and is responsible for any of the following duties in their day-to-day job:
- Makes any recommendations or otherwise gives investment advice regarding securities
- Manages accounts or portfolios of clients
- Determines which recommendation or advice regarding securities should be given
- Provides investment advice or holds herself or himself out as providing investment advice
- Receives compensation to solicit, offer, or negotiate for the sale of or for selling investment advice
- Supervises employees who perform any of the foregoing.