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Want to Become a SEBI Registered Investment Advisor (RIA)?

  • 30-May-2025
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If you’re passionate about guiding people toward better financial decisions, becoming a SEBI Registered Investment Advisor (RIA) is a smart and impactful career move.

India needs more qualified, ethical, and SEBI-recognized advisors—and with growing financial awareness, the demand is only increasing.

Here’s a Simplified Step-by-Step Guide

  1. Meet the Eligibility Criteria

    • Minimum prescribed qualifications (e.g., post-graduation in finance or related field)

    • Relevant work experience

    • Minimum net worth or capital adequacy requirement (₹5 lakh for individuals)

  2. Clear the Required Certification

    • Pass the NISM-Series X-B: Investment Adviser (Level 1) certification

    • Level 2 may be required depending on the role and services offered

  3. Apply via SEBI’s Intermediary Portal

    • Submit Form A along with necessary documents (KYC, qualifications, work experience, etc.)

    • Pay the prescribed registration fee

  4. SEBI Review and Approval

    • SEBI will assess your application, and if everything is in order, grant registration

    • Once approved, you’ll receive your RIA registration number

  5. Start Offering Investment Advice Legally

    • After approval, you can officially operate as a SEBI Registered Investment Advisor

Post-Registration Responsibilities

Registration is just the beginning. You must:

  • Stay updated with SEBI regulations and circulars

  • Maintain proper records and disclosures

  • Adhere strictly to the code of conduct and compliance guidelines

  • Renew certifications and registration periodically

Need Help with Registration or Compliance?

Navigating SEBI's requirements can be complex—but we make it simple.

Contact us for a free consultation.
📞 +91 93113 47006

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