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Registered Investment Adviser (RIA) Information
This page was originally created to provide information about becoming a stockbroker and working in the securities industry. From the hundreds of E-mails received, it seems that some of you are actually wanting to enter the industry as Registered Investment Advisers (RIA). Typically to become a RIA, you must pass either the Series 63 & Series 65 or the Series 66. Some states also accept the Series 7 as a qualifying examination. As you can imagine, EACH state has its own special nuances. To have information about becoming a Registered Investment Adviser sent to you, simply fill out the following information. Your RIA-Request will automatically be submitted to organizations who aid in the registration process. The fees the organizations charge vary widely. Do your homework and work with an organization you are comfortable with. Make sure to include your state because each state has its own specifics. Any and all feedback is requested.
Registered Investment Adviser (RIA) Information
This page was originally created to provide information about becoming a stockbroker and working in the securities industry. From the hundreds of E-mails received, it seems that some of you are actually wanting to enter the industry as Registered Investment Advisers (RIA). Typically to become a RIA, you must pass either the Series 63 & Series 65 or the Series 66. Some states also accept the Series 7 as a qualifying examination. As you can imagine, EACH state has its own special nuances. To have information about becoming a Registered Investment Adviser sent to you, simply fill out the following information. Your RIA-Request will automatically be submitted to organizations who aid in the registration process. The fees the organizations charge vary widely. Do your homework and work with an organization you are comfortable with. Make sure to include your state because each state has its own specifics. Any and all feedback is requested.