Subject: Re: Re: Financial/Investment Advisor license

Comments:
: There are all sorts of people out there calling themselves Financial Advisors or Financial Planners. There really aren't any regulations on what you call yourself (If you're a reg.rep. your B/D might have something to say about it)with the exception of the new Merrill rule. It's not so much what you call yourself but what you can legally sell. In order to sell 'advice' you must be an registered investment advisor (RIA) or an investment advisor representative (IAR)of and RIA and need a series 65 or 66 to do so. You don't need any other licenses UNLESS you will actually sell the products to implement the advice. Insurance professionals call themselves Financial Advisors all the time and only deal in insurance products. But if you're going to sell investment products you'll need other licenses- 6,7,63 etc. dependending on what products you'll sell.

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