Alright so i want to be a financial or investment adviser. could anyone please list as much detail about becoming an investment adviser.
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You have to take a couple of exams administered by FINRA and register with your state securities regulator; your state securities commission. Contact your state securities regulator and they can tell you what exams you need in your state and registration requirements. You probably dont need to be registered with the SEC unless you have $25 million under management. After you pass the exams and get registered you will need to make up a contract, with certain points in it, and file a form ADV with FINRA. There are no educational requirements unless your state may require them.
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i am a financial advisor with wfg. they are great i just started and they are not only here in u.s but in canada too. go to the source i put on bottom and you can look for the number in canada. they help all the way. :)
welcome!
How do I become an investment advisor?
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