If you want to earn business as an RIA, here is what you need to know first:
In this episode, you’ll learn what responsibilities you have as a registered investment adviser and a few other critical standards enforced by the SEC.
Here are the major takeaways you’ll learn from this video:
● The 3 Primary elements of an RIA’s job
● How the SEC defines an RIA
● The differences between state registration and SEC registration
● The best way to register for your business
If you want to become a registered investment adviser, make sure you lay a solid foundation that will protect you, your business, and your clients’ interests.
THE ONE THING YOU NEED TO REMEMBER ABOVE ALL ELSE
Make sure you know which clients you want to serve and how your services will be unique from your competition before you begin the registration process. Otherwise, there is a good chance you will have to do it all again later.
Watch the full video for full details about these requirements.
Follow Michael for more Registered Investment Advisor tips:
LinkedIn: / michael-rasmussen-4493...
Twitter: / mrasmussenlaw
Website: mtrasmussen.com/
About Michael:
Michael Rasmussen’s success story starts where most entrepreneurs with a legal background begin: with big ideas to serve clients and an industry passion. Mr. Rasmussen is most passionate about assisting US and UK financial services professionals seeking investment adviser registration or acquisition due diligence services in the US or UK. In 2013, he started his career in the securities industry as a regulator with the Financial Industry Regulatory Authority (FINRA). After FINRA, Mr. Rasmussen served in Senior SEC/FINRA Consultant positions for several established legal and consulting firms. More recently, he has acted as General Counsel and Chief Compliance Officer for several established investment advisers and private fund managers, with each institution managing over $1 Billion in AUM.
#ria #riacompliance
17 янв 2023
