Advice for Independent on becoming RIA?

Apr 4, 2010 1:06 am

I've been in the business for 20 years...last 2 B/Ds went belly-up.  Almost threw in the towel so I took some time off and have about 8 months left before my S7, 65 will lapse.  Would like to keep active, but doing very little stock business.  Mostly private equity and insurance.

Can someone please explain my options?  RIA?  I can't seem to find any guidance on the web.


May 21, 2010 4:11 am

I don't want to toot my own here but we've developed a great 'RIA Startup Guide' informative piece which I would be happy to email to you.  Simply drop me a line.

[email protected]

Good Luck to you!