Investment advisor license acquisition

This license is required to advise individuals or legal entities on securities. The permit will also help in providing investment advice.

Before obtaining an investment advisor license, let's figure out what he does.
An investment advisor is a professional person in the securities market who provides investment consulting.

Lawyers of the Law&Trust company can help you in obtaining such license in England, France, Germany, Hungary, as well as in other European and non-European jurisdictions.

Investment consulting is rather a broad term, and the question arises whether any recommendation or consultation will be considered as investment consulting?

There is no clear answer.
Investment consulting means the provision of consulting services in relation to securities, transactions with them by providing individual investment recommendations.

Such definition may vary in different jurisdictions. Somewhere the interpretation may be broader, and somewhere narrower. For a more correct understanding of who will be an investment advisor in a particular jurisdiction, it is recommended to contact professional lawyers.

What is the benefit of an investment advisor license?

Why do I need it if I can do everything without it?

A license is a guarantee of your reliability as an investment advisor, confirmation that you have the right to carry out this activity. In different countries, carrying out this activity without a license can be punishable by fines, deprivation of the opportunity to engage in this activity in the future, and in some cases it can even entail criminal prosecution.

Requirements for an investment advisor license

Before answering these questions, it is recommended to first decide on the main question: where do you want to operate?
If it is difficult to decide on the answer to this question, our team of lawyers will consult you, select the best jurisdictions, and advise you on the choice of jurisdiction that suits you.
This is necessary not only to determine the legislation, but also to understand who is the regulator and will issue the license. For example in England it is the Financial Conduct Authority (FCA), in Germany it is the Public Order Office (POO).

Our team also provides general requirements and conditions for a number of popular jurisdictions to obtain the appropriate licenses:

Jurisdiction, Regulator	Requirements for obtaining	Conditions for obtaining a license
Great Britain, FCA	Level 4 Diploma in Regulated Financial Planning (e.g., PFS Diploma or CIM) or Level 6 Advanced Diploma in Financial Planning.	Special conditions for experience, its relevance. Investment advisers must complete a certain number of hours of continuing education annually to stay abreast of changes in regulations, market conditions and financial products.
USA, SEC	Investment advisors shall pass the Series 65 exam, which is the standard licensing exam for investment advisors in the US.	Legal entities must register with the SEC, but registration requirements may vary depending on the size of the company and the state in which the request is filed.
EU, ESMA	A minimum of five years of continuous experience in investment consulting is required, as well as passing the test with an independent organization that operates in the investment field.	The requirement is for continuous professional development of investment advisers, including experience and training.

Price for the investment advisor license

The amount of the state fee also depends on the jurisdiction, as does the price of our services. We provide legal support services when obtaining an investment advisor license without the presence of the client, via the Internet, which will save you time.

We understand that deadlines can mean a lot to you. When obtaining a license, you must contact qualified lawyers who can do everything correctly in the shortest possible time and help you acquire an investment advisor license.

We hope that obtaining an investment advisor license will be easy for you, and to increase your chances, we recommend contacting professional lawyers.
When you contact Law&Trust, we guarantee our professionalism and will do everything to help you obtain an investment advisor license.