How to Become a Registered Investment Advisor

Discussion in 'Professional Trading' started by Dominic, Nov 13, 2006.

  1. Dominic


    Can anyone comment on the necessary steps that are needed for someone to obtain/become a Registered Invest Advisor? I assume you need to obtain Series 7 first?


  2. Series 65, not 7
  3. toc


    many states would let you act as an RIA if you do not have more than 5 clients in that state and do not hold yourself publically as one.