Legal Question in Consumer Law in Illinois
Independent financial advice in Illinois
Hello, what are the legal requirements for providing independent financial advice for a fee in Illinois? I have a lot of experiance in the financial industry but do not have any formal certifications yet. I do not plan to actually sell any products or manage someone's money. Thanks!
Asked on 3/21/07, 11:49 am
1 Answer from Attorneys
Thomas Moens
Moens Law Offices, Chartered
Re: Independent financial advice in Illinois
Depending on the amount of money managed, you need to be registered with the Illinois Secretary of State or the Securities and Exchange Commission.
Answered on 3/29/07, 9:15 am
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