Stanislav “Steve” Sannikov has been sentenced to four years and two months in federal prison for orchestrating a multimillion-dollar fraud scheme.

Broker (Transactions): The ... which qualifies an investment professional to function as an Investment Adviser Representative. The license covers topics such as industry laws, regulations, ethics ...

If you are a financial professional and wish to work as an investment adviser to help individual ... takers are not required to be sponsored by a broker-dealer, as they are for most other ...

That’s the year CrowdStreet secured a broker-dealer license with the Federal Industry ... with claims that CrowdStreet acted more like an investment bank — promoting deals, conducting due ...

The process for becoming an investment advisor representative, or IAR, differs from a career at a broker-dealer ... How long does the Series 65 license last? When taking the Series 65, candidates ...

The company is on the Financial Conduct Authority's investment firms register which is for firms that are authorized to ...