News Focus
News Focus
Followers 276
Posts 25995
Boards Moderated 6
Alias Born 01/27/2009

Re: I-Glow post# 36359

Wednesday, 08/28/2019 3:48:52 PM

Wednesday, August 28, 2019 3:48:52 PM

Post# of 74338
A little more info on what it takes to be a financial advisor in Washington

"Both federal and state level IA firm registration is done through the Investment Adviser Registration Depository. If the new firm has more than $100 million in client assets under management it will operate under federal laws and register with the Securities and Exchange Commission. Firms managing less than $100 million in client assets will register at the state level with the Washington Department of Financial Institutions, Securities Division. The following steps cover both scenarios."

https://www.financialplannerworld.com/washington-advisor/

https://fortress.wa.gov/dfi/webapp/dfi/EFiling/LicenseLookUp

It's nice to have a lot of horsepower in the engine room but you need some in the wheelhouse too.

Volume:
Day Range:
Bid:
Ask:
Last Trade Time:
Total Trades:
  • 1D
  • 1M
  • 3M
  • 6M
  • 1Y
  • 5Y
Recent MAJI News