Latest / Transition To RIA Podcast
Q2 – Do I Need To Register My RIA With The SEC Or With My State?
Episode #2: This episode is from video #2 of the Transition To RIA video series where I answer RIA related questions I get from advisors just like you. On today's episode I explain what determines whether you would need to register your RIA with the SEC vs the state your reside in.
About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transition their practice to the Registered Investment Advisor (RIA) model. Brad has nearly 20 years of industry experience, including direct RIA…
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