Saturday, June 10, 2023
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Registered Investment Adviser (RIA) Information

This page was originally created to provide information about becoming a stockbroker and working in the securities industry. From the hundreds of Emails received, it seems that some of you are actually wanting to enter the industry as Registered Investment Advisers (RIA). Typically to become a RIA, you must pass either the Series 63 & Series 65 or the Series 66. Some states also accept the Series 7 as a qualifying examination. As you can imagine, EACH state has its own special nuances.