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If you determine that you meet the definition of an Investment Adviser under Ohio law and that you are required to be licensed, you need to take steps to become licensed. • Determine the legal status of your firm. The most common structures are Corporation, Sole Proprietorship (see the section of this Handbook titled
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.
Check out our revised handbook for 2022. All applicants for Investment Adviser Representative (IAR) licensing are required to submit fingerprint results.
The question of whether a particular person is required to obtain a series 63 license is a specific facts and circumstances analysis, and ultimately would be answered by state law or regulations of each individual state involved.
Find All Securities Division forms here. The Division of Securities administers and enforces the Ohio Securities Act, licensing professionals and registering securities offered for sale to Ohioans.
23 lip 2024 · Licensing Requirements. To be licensed as an IAR in Ohio, an individual must meet and/or maintain one or more of the following criteria: Series 65 License; Series 7 & 66 Licenses; CFP Designation; CFA Designation; ChFC Designation; CIC Designation; PFS Designation
