How to Become SEBI Registered Investment Advisor in India

To understand how to become a SEBI Registered Investment Advisor, it’s important to follow a clear, step-by-step pathway that aligns with official SEBI registration norms. The journey toward becoming a SEBI registered advisory begins with meeting the SEBI Registered Investment Advisor eligibility criteria, which include educational qualifications such as a relevant postgraduate degree or specified certifications. Next, aspiring advisors must clear the mandatory NISM Investment Adviser Level 1 and Level 2 exams. Once eligibility is ensured, applicants can begin the SEBI registration process through SEBI’s online portal. This involves creating an account, filling out the application form, and uploading required documents—such as educational certificates, experience proofs, financial statements, and identity details. Applicants must also submit a detailed business plan and compliance structure, which is crucial for obtaining the SEBI registration certificate. Along with documentation, payment of the prescribed SEBI fees is mandatory. After submission, SEBI reviews the application, conducts background checks, and may request additional clarifications. Upon approval, the individual or entity officially becomes a registered investment advisor SEBI, authorized to offer advisory services under regulatory guidelines. Post-registration, maintaining compliance—including regular filings and the mandatory SEBI audit—is essential for continued operations.

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