RIA Information

Discussion in 'Professional Trading' started by billpritjr, Jan 7, 2004.

  1. Can anyone point me to a reputable website that has information regarding Registered Investment Advisor certification?

    I am NOT looking for stockbroker, etc stuff. Simply RIA certification and information.

    A yahoo search turns up all sorts of sites, but looking for recommendations.

  2. If you'll be advising on more than $25M now or in the near future than you must be registered with the SEC. Otherwise, most states have their own laws regarding RIA's.

    Check your state goverment's web site. Look for something along the lines of "State Securities Board" or do a search on RIA, broker, or registered representative within their site.

    Also, the following two web sites will likely contribute to the process.