D Dominic Nov 13, 2006 #1 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
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
T toc Nov 13, 2006 #3 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.
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.
