Become a Registered Investment Advisor

From AndHigherStill Wiki
Jump to: navigation, search

The Series 65 Exam[edit]

Kaplan series 65 exam 2014 - get the 'Basic Self-Study Solution'!

"Make sure to get the Q- Bank questions on Kaplan's website as well and do 300-500 questions a day until you are scoring high 80's- low 90's."

Rules on registration:

Setting Up an RIA[edit]

  1. Register the fictitious business name
  2. Sole proprietorship (to start!)
  3. Form the RIA (U-4, &etc)
  4. Open a business checking account
  5. Consider E&O Insurance

Additional Certifications[edit]

See also: Become a Certified Financial Planner