Become an Investment Adviser Representative

Vision Investment Advisors (“Vision Advisors”) offers properly registered Investment Adviser Representatives (“IARs”) the opportunity to have their license carried by Vision Advisors. IARs registered with Vision Advisors gain the ability to independently manage their own clients’ accounts while still being associated with Vision Advisors’ trusted reputation. This provides an excellent choice for individuals who, in this very complicated and ever changing regulatory environment, do not wish to maintain and run their own advisory firm. IARs can benefit from:

  • Competitive payouts;
  • Managing their own clients’ accounts by providing discretionary investment advice, based on a client’s individual goals, investment objectives, risk tolerances, restrictions and market conditions. IARs may also offer financial planning and portfolio review services based on individual consultations with clients concerning their securities holdings and asset allocation;
  • Access to all publically traded securities, including but not limited to, individual equity securities, including exchange-traded funds, preferred stocks, mutual funds, fixed income securities (such as corporate bonds, government securities, and municipal securities), unit investment trusts, real estate investment trusts and option on securities. Qualified clients may invest in Regulation D private placement offerings that have been approved by Vision Advisors;
  • The ability to also invest in specific portfolios offered by Vision Advisors;
  • The opportunity to recommend a third party investment adviser to manage all or a portion of a client’s account; and
  • Clearing through our affiliate Vision Financial Markets LLC (“Vision”) which is a self-clearing securities broker/dealer.

IARs must be Series 65 registered with Vision Advisors or Series 7 and Series 66 registered with Vision Brokerage Services. IARs must be licensed in the state in which they reside. They are responsible for being registered in the individual states as required by the individual state statutes.

For more details regarding how to become an IAR, please contact us.