Register With Each State Separately?

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.
Jul 15, 2010 3:57 pm

I plan to start an RIA business in CA.  I understand I need to register with the state each year, and there is a one time FINRA registration. 

If I have a few clients in other states, do I need to register in each of their states?  Or does it depend on the state?

Thanks.