24981
post-template-default,single,single-post,postid-24981,single-format-standard,stockholm-core-1.2.1,translatepress-en_GB,stockholm,select-theme-ver-5.2.1,ajax_fade,page_not_loaded,menu-animation-underline,wpb-js-composer js-comp-ver-6.1,vc_responsive

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™.


Subscribe to CSS Blog

CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.