Knowledge Base

Will the individuals at the firm need to register as investment adviser representatives?

Search Knowledge Base by Keyword

< Back

No, individuals do not necessarily need to register as investment adviser representatives. Registering the organization as a corporation or limited liability company is the most common option but individuals can establish the investment adviser as a sole proprietor.

Unless otherwise indicated, all materials on these pages are copyrighted by RIA Compliance Consultants, Inc. All rights reserved. No part of this Sample Form, slides, webinar, either text, image, or audio may be used for any purpose other than personal use. Reproduction, modification, storage in a retrieval system or retransmission, in any form or by any means, electronic, mechanical or otherwise, for reasons other than personal use, is strictly prohibited without prior written permission.