Investment Company & Investment Advisor Regulatory Compliance
10-year veteran SEC attorney counsels investment advisers, bank broker-dealers, broker-dealers, and ... Such actions can result in, among other sanctions, license revocations, suspensions and ...

Financial Advisor Jobs - Investment Advisor Career
Recommended Investment Advisor Reference Books. CFP (Certified Financial Planning) Exam Fast Track - This ... Series 3 License: Series 23 License: Series 53 License: Series 4 License: Series 24 License: Series 55 ...

brokers need investment advisor license
The SEC has adopted a new rule requiring brokers to obtain investment advisor licenses. Chris McConnell & Associates . January 8, 2006. To: Colleagues. This article is directed towards ...

Series 66 test - NASD Series 66
Series 66 License Exam; The Series 66 is the Registered Investment Advisor (Series 65) and state law (Series 63) license. The Series 66 is for Series 7 licensed brokers who wish to also engage in fee ...

Investment advisor - Wikipedia, the free encyclopedia
An investment advisor (or investment adviser) is an individual or firm that advises clients on investment ... authorized by the investor, the vast majority of stock brokers are, as their state license ...

Financial adviser - Wikipedia, the free encyclopedia
Generally, any advisor who charges a fee for investment advise would need to also have the Series 65 or 66 license. Thus, anyone can call themselves a financial planner but they would still need NASD ...

Article Insider - Become A Registered Investment Advisor
Securities Training Become A Registered Investment Advisor Series 3 License Series 24 Exam Series 26 NASD Series 7 License ... In order to become a registered investment advisor, you need to take a few steps ...

Fees
Investment Advisor Branch License $30.00: Investment Advisor Rep. $30.00: Investment Advisor Rep. Renewal $30.00: Investment Advisor Firms Renewal $200.00: Investment Advisor Branch $30.00

SERIES 65 EXAM - SERIES 65
SERIES 65 LICENSE. Registered Investment Advisor. The Series 65 exam is the license for individuals that act as Investment Advisors. Our Series 65 training course covers all of the topics that are ...

SERIES 66 EXAM - SERIES 66
SERIES 66 LICENSE. Investment Advisor - State Law. The Series 66 exam combines the license for Series 65 and Series 63. Our Series 66 course covers all of the topics that are needed to pass the Series ...