The Path to Becoming an Independent Registered Investment Adviser: Part 2
A Guide to the Registration Process and the Continuing Obligations of Registered Investment Advisers
Thinking of becoming an independent registered investment adviser? Watch this informative two-part ComplianceCast webinar series that digs deep into the many considerations of launching your own investment advisory firm.
This 2-part ComplianceCast series will provide practical guidance to help steer you throughout the exciting journey of going independent!
In Part 2 of our series, speakers will address the timeline for registration, the foundations of compliance, and how to ensure you are ready post registration for your first regulatory exam.
Korrine Kohm, Director of Retail Wealth Manager Services at CSS
David Porteous, Partner at Faegre
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