Skip navigation

Financial Planning and registration requirements

or Register to post new content in the forum

 

Comments

  • Allowed HTML tags: <em> <strong> <blockquote> <br> <p>

Plain text

  • No HTML tags allowed.
  • Web page addresses and e-mail addresses turn into links automatically.
  • Lines and paragraphs break automatically.
May 31, 2018 4:22 pm

I am a CFP and currently work for an independent firm - commision based - insurance, investments, and planning. I am looking to start my own firm based solely on fee based financial planning. I am not interested in selling products or managing assets.

Would I need to register as a RIA?

If so, how hard is the process? More importantly, how expensive is it?

Thanks.