Build trust
Listen carefully, explain clearly and put the client's interests at the center of the advisory relationship.
New Advisor Onboarding
Start your future as an investment advisor.
New to the industry, changing careers or starting without a client book? Explore the investment advisor role and the steps toward a reviewed, approved start with MVP.
No existing book of business is required to start the conversation.
A career built on relationships
What does an investment advisor do?
An investment advisor helps clients understand their financial position and make investment decisions in the context of their goals, time horizon and risk. The work starts with listening and earning trust, then connects planning, recommendations and ongoing review.
Understand client goals
Learn about each client's priorities, finances and concerns before discussing an appropriate strategy.
Work with care and accountability
Document the process, follow applicable requirements and firm supervision, and review the relationship as needs change.
A clear sequence from exploration to approval
Explore the role and your fit
Start with a conversation about why investment advice interests you, the people you hope to serve and the responsibilities of the role.
Review the applicable qualification route
Review Series 65, or another applicable examination or designation route. Requirements depend on your jurisdiction, qualifications and registration history.
Prepare and document your qualifications
Prepare for the applicable requirements and gather examination or designation evidence, your qualification plan and required disclosures.
Complete firm, background and registration review
The review includes applicable background and CRD records, Form U4 disclosures, outside business activities and registration requirements. A filing or passed exam is not registration approval.
Learn the firm's client and technology workflows
During supervisory onboarding, learn client intake, planning, suitability, documentation and the firm's technology workflows. Written onboarding terms confirm the support and engagement scope.
Begin advisory work after registration and approval
Provide investment advisory services only after the required registration and firm approval are complete, subject to the firm's supervisory policies.
The existing qualification checklist covers Series 65, Series 66 with Series 7, and applicable designation exemptions. State requirements, timing and eligibility must be verified for your circumstances.
Understand what the firm coordinates
MVP's existing onboarding scope includes applicable state U4 filings and registration fee sponsorship, ADV Part 2B preparation, supervisory onboarding, technology provisioning, personalized pages and custodial integration. Written onboarding terms confirm support, fee sponsorship and engagement scope.
Start with the published qualification checklist and a conversation about your readiness. Your application goes through the existing career review process; advisory work begins only after required registration and firm approval.
Review qualifications and supportTake the first step.
Tell us where you are in your career and qualification journey through the existing advisor application.
Start my advisor journeyAlready licensed or registered with a client book? Explore Advisor Practice Transition.