Q151 - What Licenses Do I Need For The RIA Model?
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Q151 - What Licenses Do I Need For The RIA Model?
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In most scenarios, passing the Series 65 exam is the prerequisite to become licensed as an Investment Advisor Representative.
However, there are scenarios where the 66, a CFP, or maybe even a 7 are still applicable.
It's important to understand how your practice profile, both today and going forward, impacts the licenses you may need in the RIA model.
In this episode (#151) of the Transition To RIA question & answer series, I break down the licensing scenarios to be aware of.
Come take a listen!
P.S. Prefer video? You can find this entire series in video format on Youtube. Search for the TRANSITION TO RIA channel.
Show notes: https://TransitionToRIA.com/what-licenses-do-i-need-for-the-ria-model/
About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors between $50M and $1B understand everything there is to know about WHY and HOW to transition their practice to the Registered Investment Advisor (RIA) model. Brad has 20+ years of industry experience, including direct RIA related roles in Compliance, Finance and Business Development. He has an MBA and has held the 4, 7, 24, 63 & 65 licenses. The Transition To RIA website (TransitionToRIA.com) has a large catalog of free videos, articles, whitepapers, as well as other resources to help advisors understand the RIA model and how it would apply to their unique circumstances.