Professional Advisor Registration Requirements

Overview

Registration requirements can vary among jurisdictions. A Professional Advisor may be required to register with an appropriate regulatory organization. For example, advisors who reside in Canada and charge fees for their services must be registered under Canadian law. Advisors residing in the U.S. may be required to register under either State or Federal law if they meet certain criteria (e.g., total assets under management, number of clients, whether they receive compensation, etc.). YOU MUST RESEARCH THE SPECIFIC REGULATIONS IN YOUR STATE/COUNTRY AND DETERMINE WHETHER OR NOT YOU ARE REQUIRED TO REGISTER AS AN INVESTMENT ADVISOR.

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