This document is an Investment Advisory Agreement that appoints the investment advisor as attorney-in-fact to the trustee. It details the duties and obligations of the investment advisor and provides indemnity to the advisor. It also spells out the duration and termination of the agreement and the governing law of the agreement.
Ohio Investment Advisory Agreement
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Multi-State
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US-PE-PAM
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Word;
PDF;
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How to fill out Investment Advisory Agreement?
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Ohio Finance Licensing. Licenses are typically required for individuals and businesses that provide finance industry services in the United States. This guide contains information about professional finance licensing in Ohio.
If an IA is a sole proprietorship, the proprietor is not required to pay an IAR registration fee or file a Form U4. However, the proprietor must have passed the Series 65 examination or the Series 7 and 66 examinations since 2000, or the proprietor must possess one of the 5 recognized professional designations.
A Registered Investment Advisor (?RIA?) and an Investment Advisor Representative (?IAR?) are distinctly different. A RIA is the legal entity that is formed to provide advisory services for a fee to clients. The IAR is the individual advisor(s) underneath the RIA that formally deliver the advice.