portfolio manager registered investment advisor financial advisor investment advisor investment manager money manager ria form adv fee based
schwab institutional
To obtain a complete resource kit for free, complete the form below.
Please use an e-mail address that does not have a filter. Bold fields required.
   
First Name:
Last Name:
E-mail:
Confirm E-mail:
Occupation:
Broker/Dealer:
Street Address: Suite
City:
State (abrv.):
Zipcode:
Country:
Phone: ext
Fax:

From Stock Broker To Fee Only Planner


In order to be a fee-only planner, these are the requirements:

-If your assets under management are $100 million or more, you must register with the SEC.

-If your assets under management are less than $100 million, you register in the states in which you do business

Once you register with the SEC, you are subject to SEC regulation, regardless of whether you remain registered with one or more states. At the SEC, the requirements to register are:

(1) (a) Have you passed, on or after January 1, 2000, the Series 65 examination? OR

(b) Have you passed, on or after January 1, 2000, the Series 66 examination and also passed, at any time, the Series 7 examination? OR

(2) (a) Do you have any of the following investment advisory professional designations?

1. Certified Financial Planner (CFP)
2. Chartered Financial Analyst (CFA)
3. Chartered Financial Consultant (ChFC)
4. Chartered Investment Counselor (CIC)
5. Personal Financial Specialist (PFS)

Most states have the same requirements. To find your states requirements, visit this site.

Tools for those who want to become
Registered Investment Advisors

 

Home  ||  From Stock Broker To Fee Only Planner
How To Manage Portfolios || Make The Transition
About Us  ||  Contact Us  || Site Map

2008 Registered-Investment-Advisor.com
inquire(at)registered-investment-advisor.com
This site is sponsored and maintained by Javelin Marketing
This site is sponsored and maintained by Javelin Marketing