Registration and retainer services for CPA financial planners
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Registration and retainer services for CPA financial planners

4 years ago ·

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CPAs offering financial planning advice without investment management services need to understand when investment advice offered might cross the line, triggering the need for state registration. Read The CPA’s Guide to Investment Advisory Business Models and access the supplemental decision chart and case study to learn more.

If you wish to speak with a compliance professional, below is one option for you to consider. The service offerings are through Compliance Advisor Professionals.

The goal of CAP is to

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