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License Finder

Investment Adviser
License Description JOB DESCRIPTION: An investment adviser provides guidance to clients regarding the value of securities such as stocks and bonds. Duties of an investment adviser may include educating and counseling clients on the sale or purchase of securities. The investment adviser also may analyze and report securities information to clients personally or through written communication. Investment advisers may be independent investment adviser firms or dually-registered as broker-dealers. NOTE: Often an investment adviser is an artificial entity such as a corporation, limited partnership, or limited liability company rather than an individual.
Licensing Agency
Oklahoma Department of Securities
204 North Robinson Avenue, Suite 400
Oklahoma City, OK 73102-7001
(405) 280 7700
zfmorton@securities.ok.gov
Active Status Active
Criminal Record No criminal record prohibitions
License Type Tied to business
License Updated 06/20/2018

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