Cov txheej txheem:
Video: Kuv yuav sau npe ua RIA li cas?
2024 Tus sau: Stanley Ellington | [email protected]. Kawg hloov kho: 2024-01-18 08:18
QHOV TSEEB THIAB KAUJ RUAM
- Xaiv koj lub chaw lag luam thiab chaw nyob.
- Sau npe kev lag luam nrog tus tuav ntaub ntawv ntawm xeev.
- Tau txais tsoomfwv tus lej se ID rau kev lag luam.
- Ua kom tiav FINRA's Series 65 kev xeem.
- Sau npe koj RIA nrog tus kws tshaj lij kev nqis peev Sau npe Depository (IARD) thiab tau txais CRDnumber.
Ib yam li ntawd, koj tuaj yeem nug, koj xav tau daim ntawv tso cai dab tsi los ua RIA?
Txhawm rau ua tus kws tshaj lij kev nqis peev, lub xeev thiab tsoomfwv cov tswj hwm xav kom cov neeg sib tw tuav Series 65 daim ntawv tso cai los ntawm nws tus kheej, lossis Series 7 nrog rau Series 66 los ntawm kev xeem dhau cov kev xeem cuam tshuam. Tsuas yog Series 7 yuav tsum tau txais kev txhawb nqa. Tag nrho cov kev xeem yog nyob rau hauv computer.
Tsis tas li ntawd, RIA account yog dab tsi? Hauv cov ntsiab lus yooj yim, ib RIA yog tus kws pab tswv yim kev lag luam sau npe. Qhov no feem ntau txhais tau hais tias lub tuam txhab nyiaj txiag uas koom nrog kev qhia lwm tus txog kev nqis peev hauv kev nyab xeeb, tau txais kev them nyiaj rau nws thiab raug saib xyuas los ntawm Securities thiab ExchangeCommission lossis lawv tus tswj hwm sib npaug ntawm lub xeev.
Tom qab ntawd, ib tus tuaj yeem nug, nws raug nqi npaum li cas los teeb tsa RIA?
Hauv qhov pib tshaj tawm no, peb nthuav dav lub nqi rau asolo-advisor tuam txhab uas pib nrog tsawg dua $ 20 lab hauv AUM. Hauv peb qhov kev paub dhau los, peb feem ntau pom tias cov kws pab tswv yim tuaj yeem tsim dua tshiab RIA ruaj rau ib ncig ntawm $9,000 nyob rau pem hauv ntej nqi.
Puas yog txhua tus kws pab tswv yim peev yuav tsum tau sau npe nrog SEC?
Txawm hais tias muaj qee qhov kev zam, feem ntau, peev advisors nrog $ 100 lab lossis ntau dua cov cuab yeej tswj hwm kev tswj hwm (AUM) yuav tsum sau npe nrog SEC raws li Registered Investment Adviser (RIA).
Pom zoo:
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