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Feb 5, 2006 2:14 am
My friend I work with at Quest is strongly considering leaving the firm He has many years in the industry  He is just tired of getting his marketing ideas rejected. He is looking to start a newsletter /advisory service. Now I would assume he would have to let his 7 expire. But  would he have to let his 65 expire as well? He wants to register as a RIA to serve some of his better clients. He would not handle the assets just provide quarterly advice. I figure someone here would know Thanks
Feb 5, 2006 3:12 am

Advice for a fee?

Feb 5, 2006 4:07 pm
Yes advice for a fee on a quarterly basis.
Feb 5, 2006 5:26 pm

Depends on the state, best to check with state securities regulator