How to Become a Registered Investment Advisor

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

  1. Dominic

    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?

    Thanks

    Dominic
     
    #1     Nov 13, 2006
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  2. Ripley

    Ripley

    Series 65, not 7
     
    #2     Nov 13, 2006
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  3. toc

    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.
     
    #3     Nov 13, 2006
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