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When Should You File as a Registered Investment Adviser?

When Should You File as a Registered Investment Adviser?

Are you or your company considering providing investment advice to clients and receiving compensation in return? Then you are likely required to register as an investment adviser with your state, or depending on the size of your potential business, with the U.S....

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Broker-Dealers:  What Is the Series 79 Exam?

Broker-Dealers: What Is the Series 79 Exam?

For broker-dealers, a Series 7 license allows them to sell corporate stocks and bonds and a range of other securities, such as municipal bonds and mutual funds. But if they intend on pursuing investment banking activities, as well, they need another license: the...

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