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How do I become a SEC Registered Investment Advisor?


I have a bachelors degree in finance and would like to do this independently as opposed to working at a firm. Can someone guide me through the process please?
Also need inforrmation on the steps to be able to provide insurance. thanks in advance

For the Sec: You need to sit for the SERIES 7 test, and you will need a brokerage firm to represent you.

For insurance, the State insurance commission requires that you pass a test, I am not certain that you need a company to represent you. I think not, you can work for several companies at the same time.

The tests, both, of them are about LAWS. Your back ground in finance will help you understand what effect the law has on a transaction. YOU WILL HAVE TO STUDY TO KNOW THE right applications of the Laws.

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