RIA License vs. Broker-Dealer License: What’s the Difference?

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2025-06-20 05:39:57 - Traduzir -

Navigating the world of financial advisory in India and abroad often brings professionals to a crucial crossroads—choosing between an RIA license or a Broker-Dealer license. While both serve investors, their roles, responsibilities, and regulatory requirements vary significantly. Understanding these differences is essential before entering the investment advisory space. What Is an RIA...

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