Examples of Registered Investment Advisor in a sentence
If opening your account through a Broker/Dealer or Registered Investment Advisor, please have them complete this section.
Registered Investment Advisor (RIA) Code/ Portfolio Manager's Registration Number (PMRN)Mutual Fund ARN -Distributor ARNSub-Broker ARN -ARN CodeInternal Sub-Broker/ Employee CodeKey Partner/Agent Information Employee Unique Identification No. (EUIN)1.
Distributors are advised to ensure that they fill in the RIA code, in case they are a Registered Investment Advisor.
Customer understands that LMK does not act as a Registered Investment Advisor with respect to the purchase or sale of securities Customer may make, and that no fiduciary relationship exists.
The District may employ the services of a Registered Investment Advisor (“Advisor”) for implementing the policy.