How to Become a Registered Investment Advisor

[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

 

[allbusiness]

Actually, you only need your Series 65. A great study guide that I found, and own, is Pass the 65, which I think you can get anywhere or at www.passthe65.com

M

 

[lindq]

Quote from 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

Your state will likely have a website that covers those issues. Most states follow the same requirements. The series 65 exam is not difficult. However, there is a considerable amount of paperwork, and the filing procedures are quite complicated. It is not an easy process unless you have a company staff prepared to handle it for you.

 

[Dominic]

If I order an online study guide, do I need to find a broker to sponsor me, like the Series 7?

Thanks

Dominic