Regulations for financial advisors in Charlotte, NC
The Financial Industry Regulatory Authority (FINRA) regulates the activities of numerous brokerage firms and registered security representatives in USA. According the rules and regulation of FINRA a financial advisor should be registered with concerned authorities before providing consultation on security investments. The financial advisors need license to promote the stocks and for charging a nominal fee he should have license in series of 65 or 66.
Anyone can refer themselves as financial planner, but still he should obtain FINRA license to offer advice for customers or he should be a registered as investment adviser within Securities & Exchange Commission in USA. Any businesses offering financial advice can be called as Financial Advisors.
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