Taxation

How to Become SEBI Registered Investment Advisor in India

Who is Taxation?

Becoming a SEBI Registered Investment Advisor in India involves a structured SEBI registration process designed to ensure professional and ethical financial advisory services. To start your journey toward sebi registered advisory, you must meet SEBI’s eligibility norms. This includes holding a graduate degree (preferably in finance, commerce, or related fields) and having at least five years of relevant experience. You must also pass the NISM Series-X-A and Series-X-B Investment Advisor exams, which are mandatory certifications for anyone exploring how to become SEBI registered investment advisor.

Once eligible, gather essential documents such as educational certificates, experience proofs, exam results, PAN, Aadhaar, income tax returns, and a detailed business plan. Next, apply online through the SEBI Intermediary Portal by submitting the application form and paying the prescribed SEBI fees. Individual applicants and non-individual entities have different fee structures, so review SEBI’s guidelines carefully.

After submission, SEBI reviews your documents, may request clarifications, and conducts background checks. If approved, SEBI grants the registered investment advisor SEBI certificate, allowing you to legally offer fee-based investment advice in India. Maintaining compliance through annual filings, audits, and renewal is crucial for sustaining your SEBI registration.

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