Financial Advisor Business Registrations:
Registering in States, Counties & Cities

Recently Released!!!
Date Published: February 7, 2016
Summary Power Point Deck: 27 Slides
Reference Power Point Deck: 111 Slides

The purpose of this research is to provide readers with an understanding of financial advisor business registrations, which are critical to following all rules in states, counties & cities. This topic is one in Tiburon's financial advisor planning & documents series.

This research begins with a review of the evolution of financial advisor business registrations, including their history across these phases:

  • Early Phase
  • Haphazard Phase
  • Formalization Phase

This research defines three types of business registrations, including:

  • State
  • County
  • City

This research supports several conclusions, including:

    • Evolving Financial Advisor Business Registrations
    • More Strict Adherence to Business Registration Requirements
    • More Expensive Business Licenses


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