The Path to Becoming an Independent Registered Investment Adviser: Part 1

The Path to Becoming an Independent Registered Investment Adviser: Part 1

Initial Considerations and Finding Strategic Partners

Thinking of becoming an independent registered investment adviser? This informative two-part ComplianceCast webinar series digs deep into the many considerations of launching your own investment advisory firm and provides practical guidance to help steer you throughout the exciting journey of going independent!

In Part 1, speakers address applicable issues such as the duties you owe and obligations you may have to your current firm, the Broker Protocol, state privacy considerations, and finding the strategic partners needed to help you through the process.

Speakers:
Korrine Kohm, Director of Retail Wealth Manager Services at CSS
Jeffrey Blumberg, Partner at Faegre
David Porteous, Partner at Faegre


Fill in & submit the form below to download this ComplianceCast™.