Financial Advisor
The Meaning Behind Financial Advisor Designations and Licenses [K] [i] [n]
Bonnie Kirchner (Kindle Edition) FT Press 2010-05-21
Release date: 2010-05-21
Price:
$1.99
Answers
I'm thinking about obtaining a financial advisor license what kind of classes should I take for WA state.
CFP
http://www.cfp.net/become/
www.WealthExpands.Net?t=Stock Broker - Financial Advisor Sales Option Upper-end financial education sales marketing business seeks independent ...
I am considering a move into financial advising career and I wanted to know where to find good information on the federal or CA state regulations. Do I need to be licensed to manage my customers portfolios (buy/sell stocks or mutual funds)? If I only have few accounts, can I do it with a power of attorney?
There should be a local securities commission that can advise you on what you need to be a Financial Advisor.
In Canada, if you pose as a Financial Advisor or charge money to do so, without licensing you could be seriously fined or go to jail. Every State and province ooperatesa little different though. Personally, I would NEVER work with someone with my money through someone that doesn't have some sort of proof of licensing or designation...FAR too many scams out there these days and there is far too much to know about taxation and whatnot for someone to do it part time or half assed.
like a sales license.
Usually series 7, 66 or series 7, 63 or 65.
I'm thinking of filing for Chapter 7, but my husband is studying for licensing. Can he work as an advisor?
If you are in the US, you BOTH must file, and that would effectively end any chance he has of being a financial adviser...
I am a securities licensed financial advisor registered with one broker / dealer. A colleague of mine, who is securities licensed, is registered with a different broker dealer. My colleague has asked me to join him on one of his client meetings. I told him that I would try and find out if this is acceptable with FINRA.
It would not be a wise move to join him. The risk of being called out for conflict of interest is high. There is also a possibility of being accused of collusion.
Whether you are innocent or guilty is not the point here - your employer may deem it necessary to terminate you to set an example, to show that they do not tolerate this behavior, and to discourage this type of behavior among its employees.
I hope you decline the offer, unless he is willing to pay you such a huge amount you can quit your job with just this one meeting.
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FINANCIAL ADVISOR METAL LICENSE PLATE FRAME
FINANCIAL ADVISOR METAL LICENSE PLATE FRAME