Looking for advice from a RIA or CTA

Discussion in 'Professional Trading' started by BudFoxx, Jun 28, 2006.

  1. BudFoxx


    Can anyone that is a RIA or CTA pm me?

    I would like some guidance on steps to getting registered. I am close to having over 15 managed accounts and would like to know procedures to getting into compliance with the SEC.

    Currently i manage accounts through IB's advisor platform.

    thanks in advance for any help.
  2. You will need to find your state's laws unless you have >$30MM under management. I would recommend getting certified regardless. It seems to me that the SEC is going to only become increasingly strict as time passes. It's not hard to get RIA certified. Grab some series 65 study material. A couple hours a day for a couple weeks and you're good to sit for the exam. Then, if you have less than $30MM under management, just follow your state's guidelines to getting registered in the state.