Becoming and Registered Investment Advisor requires some serious studying and well as passing several tests. This presentation explains the difference between the different examinations, and describes some of the most important terms that every RIA should be familiar with.

1. Burst
&Bubble
Continuesto
TheMarket

2. &
chance
stress
instability
Averitablewitch’sbrewof

3. Yet,
investmentadvisor.
somewhere,someonewantstogetajobasan

4. Why
?wouldtheywant
todothis

5. Maybeit’stheirfirst
joboutofschool.

6. Or,perhapsit’sa
careerchange.

7. Eitherway,
theyneedtherightskillsanddesignations
tomakethemselvesmarketable.

8. Notmanypeople
LOVEtakingtests.
LoveTests

9. inordertoworkwithsecurities,theyneedto
buckledownanddosomeseriousstudying.
But,

10. theyneedtofigureoutwhichtestswillmake
theirambitionspossible.
And,

11. And,theyneedtolearnto
LOVEacronyms.
Love
Acronyms

21. Anyonewhoworkswith
securitiesataFINRA
memberfirm hasto
registerwithFINRA.
(Catch-22)

44. Therearealwayslotsof
todowithyearly
compliance
requirements!
coolthings