Terms Used In Utah Code 61-1-203

• Adult Protective Services: means the same as that term is defined in Section 26B-6-201. See Utah Code 61-1-201
• Broker-dealer: means a person engaged in the business of effecting transactions in securities for the account of others or for the person's own account. See Utah Code 61-1-13
• Division: means the Division of Securities established by Section 61-1-18. See Utah Code 61-1-13
• Investment adviser: includes a financial planner or other person who:
                 (1)(q)(ii)(A) as an integral component of other financially related services, provides the investment advisory services described in Subsection (1)(q)(i) to others as part of a business;
                 (1)(q)(ii)(B) holds the person out as providing the investment advisory services described in Subsection (1)(q)(i) to others; or
                 (1)(q)(ii)(C) holds the person out as a financial adviser, financial consultant, or any other similar title as the division may specify in rule made in accordance with Title 63G, Chapter 3, Utah Administrative Rulemaking Act, in any way as to imply that the person is generally engaged in an investment advisory business, including a person who does not hold a securities license and uses a title described in this Subsection (1)(q)(ii)(C) in any advertising or marketing material. See Utah Code 61-1-13
• Qualified individual: means :
       (5)(a) an agent;
       (5)(b) an investment adviser representative; or
       (5)(c) an individual who serves in a supervisory, compliance, or legal capacity for a broker-dealer or an investment adviser. See Utah Code 61-1-201