Occupational license information for Investment Adviser Representative (IAR) in US | CareerOneStop

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Investment Adviser Representative (IAR)
License Description	Any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, manages accounts or portfolios of clients, solicits, offers, or negotiates for the sale of or sells investment advisory services, or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities.
Licensing Agency	RI Department of Business Regulation Division of Securities 1511 Pontiac Ave, Building 69-1 Cranston, RI 02920 (401) 462 9586 https://dbr.ri.gov/insurance-banking-securities-and-charitable-organizations/securities-and-charities
Active Status	Active
Criminal Record	No criminal record prohibitions
License Type	Stand-alone license
License Updated	08/10/2023

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Occupational license information is from the Analyst Resource Center (ARC).

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