Search results
6 kwi 2020 · register each of its representatives providing advice to a Virginia resident as required by § 13.1.504; any other information the Commission may require. Federal Covered Investment Advisor Initial Registration
The examination requirements shall not apply to an individual who currently holds and is in good standing under one of the following professional designations: 1. Certified Financial Planner (CFP) issued by the Certified Financial Planner Board of Standards, Inc.;
1. Are financial planners or investment advisors required to register in Virginia? A. Virginia law requires that, with some exceptions, any person who is engaged in the business of, and compensated for, advising others as to the value of securities or the advisability of investing in, purchasing, or selling securities, must register with us. 2.
This guide will help you to become a financial adviser in Virginia by describing how to register an independent investment advisor (IA) firm of your own or how to become registered as an investment adviser representative (IAR) so as to work for an established firm.
Broker-Dealer and Agent Registration Instructions. Note: All broker-dealer and agent registrations expire annually at midnight on the 31st day of December unless renewed. Virginia does not have a deminimus for broker-dealers. Broker-Dealer Initial Registration. Broker-Dealer Agent Initial Registration.
There are no pre-licensing education requirement, but would-be producers must pass the state’s licensing exam as conducted by independent third-party proctoring firm Prometric. Actual licensing registration is performed through either the Sircon or NIPR (National Insurance Producer Registry) systems.
Financial & Bonding Requirements.
