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Investment Adviser Representative
License Description JOB DESCRIPTION: An investment adviser representative provides guidance to clients regarding the value of securities such as stocks and bonds. Duties of an investment adviser representative may include educating and counseling clients on the sale or purchase of securities. The representative also may analyze and report securities information to clients personally or through written communication. Investment adviser representatives are employed by business entities registered as investment advisers. Such firms may be independent investment adviser firms or dually-registered as broker-dealers.
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 Stand-alone license
License Updated 06/25/2020
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