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ES_NVFPA_RISEN_061223-Page 1 of 10DO NOT STAPLEFuture Path 529 PlanFuture Path 529 Unregistered Investment Advisor or Financial Planner Enrollment Application IMPORTANT INFORMATION ABOUT OPENING A
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01
Obtain an Investment Advisor Registration form from the Financial Industry Regulatory Authority (FINRA) website or from your state securities regulator.
02
Fill out all required information on the form, including personal information, employment history, education, and disclosure of any disciplinary actions.
03
Submit the completed form along with any required fees to the appropriate regulatory agency for approval.
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Once approved, you will receive your registered investment advisor status and can begin offering investment advice professionally.

Who needs registered investment advisor or?

01
Individuals or firms who provide investment advice for a fee or receive compensation for recommending investment products to clients need to register as an investment advisor.
02
Financial planners, portfolio managers, and other professionals who provide personalized investment advice are examples of who needs to be registered as an investment advisor.
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Registered Investment Advisor (RIA) is a firm that offers investment advice and manages client portfolios in exchange for a fee.
Any investment advisor with assets under management exceeding a certain threshold must file with the Securities and Exchange Commission (SEC) or the relevant state securities agency.
The registration process for investment advisors involves completing Form ADV and submitting it to the SEC or state securities agency along with any applicable fees.
The purpose of registering as an investment advisor is to provide transparency to clients and regulatory authorities regarding the firm's practices, fees, and potential conflicts of interest.
Investment advisors must report information such as their business activities, fee structure, disciplinary history, and conflicts of interest on Form ADV.
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