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Career path

Investment adviser career path

A practical route map for people who want to provide investment advice, recommendations, portfolio advice, or advisory services.

Typical roles

  • - Investment adviser representative
  • - Financial adviser
  • - Research-led adviser
  • - Wealth adviser
  • - Advisory representative

Where licensing appears

  • - Investment adviser registration
  • - Representative registration or appointment
  • - Advice suitability and disclosures
  • - Conflicts and supervision

Exam or qualification starting points

  • - US: Series 65 or Series 66 plus valid Series 7 depending on state facts
  • - AUS: ASIC financial adviser exam for relevant providers
  • - HK: SFC Type 4 LE map
  • - SG: CMFAS/financial advisory modules
  • - UK: appropriate qualification for personal recommendations

Practical first steps

  1. 1. Decide whether advice is personal, general, retail, professional-only, or platform-generated.
  2. 2. Separate investment advice from brokerage, research, and fund marketing.
  3. 3. Prepare an ethics, disclosure, conflicts, and client-classification study plan.

Knowledge to build

Disclaimer

Information on LicenseCompare is for general educational purposes only and does not constitute legal, regulatory, financial, tax, investment, or professional advice. Licensing requirements depend on facts and change over time. Always consult official regulator materials and qualified professional advisers.