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Finance Glossary

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Investment Adviser Representative


An investment adviser representative is someone who works for or is linked to an investment advisor. The fine folks who brought you the Uniform Securities Act also have this technical explanation of what an investment adviser representative does:

  • 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