Banner: License Finder

License Finder

License Finder

INVESTMENT ADVISER/REPRESENTATIVE
License Description The definition of Investment Adviser includes any person who, for compensation, advises others about securities, their value, and/or their purchase and/or sale. An investment adviser representative includes any person who on behalf of the investment adviser recommends or renders advise regarding securities, manages accounts or portfolios of clients, determines which recommendation or advice regarding securities should be given, solicits, offers or negotiates for the sale or sells advisory services, or supervises employees who perform these services
Licensing Agency
Securities Division, Office of the Secretary of the Commonwealth
One Ashburton Place, Room 1701
Boston, MA 02108
(617) 727 3548
Active Status Active
Criminal Record No criminal record prohibitions
License Type Stand-alone license
License Updated 05/09/2018

Select the type of the download.

Select the type of the download.
   
Back to Results