How much does a Registered Investment Advisor make in Honolulu, HI? The salary range for a Registered Investment Advisor job is from $68,995 to $85,947 per year in Honolulu, HI. Click on the filter to check out Registered Investment Advisor job salaries by hourly, weekly, biweekly, semimonthly, monthly, and yearly.
Each investment advisor representative must submit the form U-4 and ADV Part 2B in the relevant state(s).
December 22, 2021
Investment advisers sharing the same principal office and place of business with an affiliated investment adviser that is registered with the Commission (Rule 203A-2(c)).
October 04, 2021
Only states register investment adviser representatives, not the SEC, but those who must be registered include individuals working for both state and SEC-registered firms.
December 20, 2021
Registered investment adviser firms receive compensation in the form of fees for providing financial advice and investment management.
December 20, 2021
Section 205(a)of the Advisers Act requires each investment advisory contract entered into by an investment adviser (whether SEC-registered or not, unless exempt from registration under Section 203(b)) to provide that the contract may not be assigned without the client's consent.
December 20, 2021
The firm’s Policies and Procedures manual is the guiding document that your firm will use to maintain and enforce your firm’s internal policies on all aspects of your business from the handling of client complaints to the training of new Investment Advisor Representatives.
December 18, 2021