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The Division licenses broker-dealers, securities salespersons, investment advisers, investment adviser representatives and investment officers. The Division also registers securities offered for sale to Ohioans.
The Division of Securities, within the Ohio Department of Commerce, administers and enforces the Ohio Securities Act. The Division licenses broker-dealers, securities salespersons, investment advisers, and investment adviser representatives. The Division also registers securities offered for sale to Ohioans.
Financial advisors are licensed as registered investment advisers (RIAs) or investment adviser firm representatives (IARs). This guide will walk you through the process for state level registration with the Ohio Division of Securities as well as federal level registration with the Securities & Exchange Commission (SEC).
Financial & Bonding Requirements. All IAs are required to remain solvent. Audited financial statements are required if an IA has custody of client funds or securities and the IA alone sends account statements to clients.
Ohio Investment Advisers with $100 million or fewer assets under management must be licensed and regulated by the Division. Investment advisers often employ investment adviser representatives, the people who actually work with clients.
Find Ohio Securities License requirements for Ohio securities careers from Hondros College.
26 gru 2023 · The FINRA Series 8 license, officially known as the General Securities Sales Supervisor Qualification Examination (GS), is a regulatory requirement for individuals supervising the sales activities of general securities representatives.
