A Registered Investment Advisor is a financial advisor who is registered with the SEC and is required to have an S65/S66 license.  This advisor is many times self-employed but has an affiliation with a Broker/Dealer and is usually fee based instead of commission based.

The Registered Investment Advisor’s expertise is in Stock Investing, Portfolio Management and Financial Planning.

Typical information provided

• Broker CRD #
• Broker Name
• Company CRD#
• Company and Company Address
• Business Phones
• Home Address

Additional Selections:

• Date Hired by Current Firm
• Exam & License Information
• Est. Production Level
• Type of Company
• Emails

You can choose by geographic area, specific companies, or distance from home to office.  We can also identify types of companies such as Major Wirehouses, Major Regional Firms, Independent Firms, Top Independent Firms, Main Offices and Branch Offices.

Updating

Updating is on going as new information becomes available. We run all addresses through the NCOA system quarterly.

We are here to assist you in making selection decisions so you will get the most targeted list. We have several pricing options so please contact us at info@targetmktg.net or call 800-839-0021 for counts and costs.