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Investment Advisor Representative
License Description Investment Adviser Representative means any individual employed by or associated with an investment adviser who makes any recommendation or otherwise renders advice regarding securities, manages securities accounts or portfolios of clients, determines which recommendations or advice regarding securities should be given, or supervises employees who perform any of the foregoing. Requirements: 1) Must submit initial application for registration. 2) Must submit proof of passing exams. 3) Must be registered in the resident state. Examinations Required. Initial regisration fee: $75.00, Renewal registration fee: $75.00
Licensing Agency
Arkansas Department of Commerce
1 Commerce Way, Suite 402
Little Rock, AR 72202-2086
(501) 324 9260
asdinfo@arkansas.gov
Active Status Active
Active Military/Veterans A temporary license is available to military and spouses until formal license approval
Criminal Record Any conviction is prohibited
Exam No exam required
License Type Register with licensing agency
License Updated 06/28/2022
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