How do I…?

Answers to Often-Asked Questions by our students

How Do I Become a Stock Broker? Broker-Dealer Registration (“B/D”) takes about 90 days — if the necessary exams have been completed and the firm is adequately capitalized. Paperwork is filed with FINRA, each state in which the firm conducts its business, and with the SEC. “FINRA” is Financial Industry Regulatory Authority and “SEC” is the…
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How Do I Become a Registered Investment Advisor? A Registered Investment Advisor (“RIA”) is an entity who, for compensation (in any form), engages in the business of advising others, either directly or indirectly, of the value of securities or of the advisability of investing in securities. They receive a management fees and do not receive commissions (“RIAs receive fees…
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How Do I Become a Commodity Trading Advisor (CTA) Introducing Broker (I/B)? Investment Reference will complete Introducing Broker application forms and assist in office procedure set-up, compliance guidelines, and internal control. Preparatory “NFA mock audits” can be done to assist in meeting NFA rules and…
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What Exams Are There?  —  The Complete List of Courses that SEP Offers:

Registered Representative Level

Registered Principal Level