Investment Adviser Representative
GPTKB entity
Statements (23)
| Predicate | Object |
|---|---|
| gptkbp:instanceOf |
occupation
|
| gptkbp:canReceiveCompensation |
fees
commissions (in some cases) |
| gptkbp:continuingEducationRequired |
yes
|
| gptkbp:fiduciaryDuty |
yes
|
| gptkbp:hasWorkedWith |
Registered Investment Adviser
|
| https://www.w3.org/2000/01/rdf-schema#label |
Investment Adviser Representative
|
| gptkbp:license |
yes
|
| gptkbp:licenseExam |
gptkb:Series_65
gptkb:Series_66 |
| gptkbp:mustRegisterWith |
SEC (if working for SEC-registered adviser)
state securities authority |
| gptkbp:providesService |
portfolio management
financial planning investment advice |
| gptkbp:regulates |
gptkb:U.S._Securities_and_Exchange_Commission
state securities regulators |
| gptkbp:requiresDisclosureOf |
conflicts of interest
disciplinary history |
| gptkbp:subject |
gptkb:Investment_Advisers_Act_of_1940
state securities laws |
| gptkbp:bfsParent |
gptkb:Registered_Investment_Advisor
|
| gptkbp:bfsLayer |
7
|