Investment Advisory Registrant's Certificate (Connecticut-based firms only))
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Visit FINRA BrokerCheck or call FINRA at (800) 289-9999. Or, visit the SEC's Investment Adviser Public Disclosure (IAPD) website. Also, contact your state securities regulator.
(c) (1) No person shall transact business in this state as an investment adviser unless registered as such by the commissioner as provided in sections 36b-2 to 36b-34, inclusive, or exempted pursuant to subsection (e) of this section.
Series 63 license This FINRA exam consists of 60 questions. Financial advisors are required to have both a Series 6 or 7 and a Series 63 license to operate within any given state.
Investment Advisers Act has a one/three-year statute of limitations.
Investment Advisers Act of 1940 This law regulates investment advisers. With certain exceptions, this Act requires that firms or sole practitioners compensated for advising others about securities investments must register with the SEC and conform to regulations designed to protect investors.
When to Register with the SEC. While there are some exceptions, in general, investment advisory firms who start an RIA firm with or expect to reach $100 million or greater in regulatory assets under management (AUM) within 120 days of registration should register with the SEC as an RIA.
Unlike the CFP designation, ?RIA? is not a professional designation, and does not signify any special training or qualifications. The only qualifications to register as an RIA are to pass the Series 65 examination or maintain a Series 7 and Series 66 with a broker-dealer firm.
Generally only larger advisers that have $25 million or more of assets under management or that provide advice to investment company clients are permitted to register with the Commission. Smaller advisers register under state law with state securities authorities.
