IARs are persons employed by or associated with an investment advisor who make recommendations or otherwise provide financial or investment advice.
IARs are compensated by charging a fee either on a commission basis, at a flat or hourly rate, or as a percentage of assets under management (AUM).
IARs must be properly registered and, at a minimum, have passed certification exams certified by FINRA and other required regulatory bodies.
IARs are often required to take the Series 63 and Series 65 exams, although the requirements vary by state.
The responsibilities of an IAR include providing financial advice, managing client accounts, providing advisory services to external parties, or overseeing other IARs.
The Accredited Asset Management Professional (AAMS) professional title is recognized as the industry benchmark for asset management credentials and endorsed by leading financial firms.
Always Be Closing is a mantra used in the sales world meaning that the salesperson should always be thinking about closing deals using whatever tactics are necessary.
An Internal Auditor (IA) is a trained professional tasked with providing an independent and objective assessment of a company’s financial and operating performance.
A non-compete agreement legally obliges a current or former employee to compete with the employer for a specified period of time after the employment relationship ends.