Series 63: Termination Of An IAR

Taken from our Series 63 Online Guide

Termination of an IAR

Because investment adviser representatives actually work for an investment adviser as an employee or associate, they tend to come and go more frequently than actual investment advisers. That’s not hard to imagine, since professionals are constantly being hired and fired from firms, as well as changing jobs or switching firms for their own reasons.

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Max Thomas, Finalis / Evalla Advisors LLC. Los Angeles, CA

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