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State requirement to become a Financial Advisor
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Comments (2)

Bill in Moneta, Virginia

5 months ago

Where can I go to find out the states requirements for Financial Advisors. From what I have read there is no federal requirement and some states do not require a license.

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Wealth Manager in Livermore, California

5 months ago

www.scc.virginia.gov/srf/faq/bdiareg.aspx

To clarify, however, a financial advisor and an IAR (investment advisor representative)are two different things. One is compensated by commissions (or a combination of commissions and fees) and the other is unable to be compensated by anything other than a management fee. Also the necessary licenses are different as well

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