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If a state securities regulator requires an individual to be registered as an investment adviser representative in order to solicit investment advisory clients in a third-party capacity, does the solicitor have to be an investment adviser representative under the investment advisor firm receiving such referrals?


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If a state securities regulator requires an individual to be registered as an investment adviser representative in order to solicit investment advisory clients in a third-party capacity, does the solicitor have to be an investment adviser representative under the investment advisor firm receiving such referrals?

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