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Letter: American Investment Planners is licensed
Editor’s note: Licensed financial planner Barbara Magor responds to comments posted to “La Vernia Connections: HammerFest meets with LVISD, LVPD” on wcn-online.com, questioning the licensing and certification of her business.
A recent blogger has allowed me the opportunity to toot my own horn as well as American Investment Planners, LLC (AIP) where I have been privileged to work for more than 20 years.
American Investment Planners, LLC is an investment advisor with assets under management in excess of $100 million, and therefore is required to register with the Securities and Exchange Commission (not the individual states).
Federally registered investment advisors are exempt from “registration” in the states where they conduct business as an investment advisor; however, states where a federally registered advisor conducts business may require them to “notice file” based on certain factors, such as maintaining a physical office in the state.
American Investment Planners, LLC physically maintains offices in Florida, New York, and Texas and has previously “notice filed” in those states. In addition, states where an advisor must “notice file” may require the investment advisor representatives working out of the office in those states to either “notice file” or “register” in the state.
I am currently registered in Texas as an investment advisor representative with AIP. In addition, I am registered as a broker-dealer agent in 20 states with Cadaret Grant & Co., Inc. including Texas. Besides co-chairing HammerFest, I also serve as committee chair in economic development for La Vernia Central Business and will be a guest speaker at the upcoming Eagle Ford shale Consortium Convention in March on economic development.
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