You need a Series 7 in order to execute orders on behalf of a public client and earn a commission. A Series 65 would allow you to operate simply as an advisor where you are essentially just an equity raiser. So, it depends on what your specific goals are. Research Series 7 and Series 65 accordingly.Hello All,
How would I go about getting licensed as a fixed-income advisor?
Also, how difficult is it to set up a company to take on clients and take positions for them?
I'm considering going pro and starting a little bond trading house.
Thanks, Keith :^)
Non-professional - not licensed - not qualified to give advice - opinion only