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Financial Advisor Agreement Sec

In most cases, this is a regulatory obligation that puts more security and quality assurance on your services – this means that you or your consulting firm will remain in business. You should interview your potential financial advisor very carefully to make sure they are able to achieve your financial goals. On average, for most potential registered investment advisors, it takes three to four weeks to research, compile, design and submit their registration dossier via P&C and send Part II of the ADV form by email. At first, expect a few more weeks when you take the Round 65 exam, as well as a few extra weeks after filing to respond to regulatory comments and provide the requested materials. Like what. B a comprehensive written compliance program. So an important step is to carefully evaluate a financial advisor`s financial advice history.