Michael@1
First Time Poster
Cash: $ 0.25
Posts: 1
Joined: 04 Jan 2017
Location: CHICAGO, USA
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| Series 65 needed if investment firm is exempt from registrat |
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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!
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