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Investment Adviser Representatives of Federal Covered Advisers…Gypped x 2

Dashboard > State Securities Acts and Related Rules and Regulations > Investment Adviser Representatives of Federal Covered Advisers…Gypped x 2

Investment Adviser Representatives of Federal Covered Advisers…Gypped x 2

So, yes, you have to register with the state if you are an investment adviser representative at a federal covered advisor. Whoa, that title’s a bellyful. There’s no state exemption for you. So register if you have a place of business in the state or more than 5 non-institutional investors. Pretty simple, really.

Also get to know the rules governing visits to other state because if you regularly go to another state and meet with clients or you advertise the fact that you can meet up with pe...

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