Home     Forum     401k     401k Rollovers
    Register   Login   Members   Search   FAQs     Recent Posts    




Series 65 needed if investment firm is exempt from registrat

Reply to topic
Money Talk > Investing, Stocks and Bonds

Author Thread
Michael@1
First Time Poster


Cash: $ 0.25

Posts: 1
Joined: 04 Jan 2017
Location: CHICAGO, USA
Series 65 needed if investment firm is exempt from registrat  Reply with quote  

Does anybody know if I need the series 65 exam if I start a small investment company that will be exempt from state or federal registration (i.e. less than 5 clients in any given state, not publicly advertised, money under management less than $ 1 Million)? Or does anybody that takes fees for investment advice need the 65 (or similar), independent of registration requirements? Thank you!
Post Wed Jan 04, 2017 5:21 pm
 View user's profile Send private message

Reply to topic
Forum Jump:
Jump to:  
  Display posts from previous:      





Money Talk © 2003-2016