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Form SSA-1699 (09-2024) Discontinue Prior Editions Social Security Administration Page 1 of 8 OMB No. 0962-0732 Representative Registration Purpose of Form Complete this form to register as a representative.

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Common names for investment advisers include asset managers, investment counselors, investment managers, portfolio managers and wealth managers. Investment adviser representatives are individuals who work for and give advice on behalf of registered investment advisers.

To become registered, securities professionals are required to pass qualification exams to demonstrate competence in their particular securities activities. A FINRA-registered representative's duties may include supervision, sales of securities or training of persons associated with the member firm.

The purpose of the register of representatives The purpose of the register is to supply sufficient information to the registrar so as to enable the registrar to maintain and continuously update a central register of all representatives and key individuals, which register is published on the FSB's website .fsb.co.za.

A registered representative, also called a general securities representative, a stockbroker, or an account executive, is an individual who is licensed to sell securities and has the legal power of an agent in the United States.

RIA vs. IAR. Often confused online, the registered investment advisor (RIA) is the firm, and the IAR is the individual who represents the firm with clients and the public. There is only one case where the two might be used interchangeably: when an RIA employs one person, an RIA.

Registered Investment Advisor Representatives are subject to the Fiduciary Standard, which requires them to operate in the client's best interest for the entire duration of the relationship. At no point are they permitted to put their own interests, or the interests of their employer, ahead of the client's.

What Is a Registered Representative (RR) A registered representative (RR) is a person who works for a client-facing financial firm such as a brokerage company and serves as a representative for clients who are trading investment products and securities.

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© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232
Form Packages
Adoption
Bankruptcy
Contractors
Divorce
Home Sales
Employment
Identity Theft
Incorporation
Landlord Tenant
Living Trust
Name Change
Personal Planning
Small Business
Wills & Estates
Packages A-Z
Form Categories
Affidavits
Bankruptcy
Bill of Sale
Corporate - LLC
Divorce
Employment
Identity Theft
Internet Technology
Landlord Tenant
Living Wills
Name Change
Power of Attorney
Real Estate
Small Estates
Wills
All Forms
Forms A-Z
Form Library
Customer Service
Terms of Service
DMCA Policy
About Us
Blog
Affiliates
Contact Us
Privacy Notice
Delete My Account
Site Map
All Forms
Search all Forms
Industries
Forms in Spanish
Localized Forms
Legal Guides
Real Estate Handbook
All Guides
Prepared for You
Notarize
Incorporation services
Our Customers
For Consumers
For Small Business
For Attorneys
Our Sites
US Legal Forms
USLegal
FormsPass
pdfFiller
signNow
airSlate workflows
DocHub
Instapage
Social Media
Call us now toll free:
1-877-389-0141
As seen in:
  • USA Today logo picture
  • CBC News logo picture
  • LA Times logo picture
  • The Washington Post logo picture
  • AP logo picture
  • Forbes logo picture
© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232