The Path to Becoming an Independent Registered Investment Adviser: Part 2

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.

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


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