many people tell me to make an investment company. b/c i have made good return from stock trading for many years. so they want me to set it up. does anyone know the procedure to make an investment company. thanks
2007-03-09 09:15:15 · 3 answers · asked by wirehahn 1 in Business & Finance ➔ Investing
There are no required licenses to become a financial planner. However, if you want anyone, other than friends and family, to trust you with the money, you should become certified. Remember, it is a risky business. If customers are unhappy with your service they can sue you, and probably win, given your lack of professional experience.
2007-03-09 09:21:21 · answer #1 · answered by ? 3 · 0⤊ 0⤋
If you are in the US and you are managing discretionary client accounts, you will need to notice file with your state. You will need to pass the Series 7 and the Series 63. When you notice file, you will also need to register with the state as a principal.
2007-03-09 18:15:11 · answer #2 · answered by BosCFA 5 · 0⤊ 0⤋
well,i would think,so,. they want you to be sure to have your mind on more than your old stock job
2007-03-09 17:27:14 · answer #3 · answered by Anonymous · 0⤊ 0⤋