Hedge Fund Marketing License Requirements
Below is a recent question that I have received often via email:
What licenses should a hedge fund marketer hold? I have heard that one should have their series 7 and series 66, is this true? Also, what licenses should I hold if I am going to be marketing my firms separate account business and mutual fund as well as their hedge fund? Thanks.
My response below:
Hello XXX,
I don’t think you will find many responses to your question online – most professionals are afraid of being seen as providers of legal or licenses advice over the internet. I would check with a broker-dealer, security lawyer or compliance officer in the industry for your exact situation.
That said, in the past I have had one employer swear up and down that you hardly ever need a securities license to market the investment funds he worked with…but most professionals that i work with agree that you do need to be licensed for most types of work. The more professional and established a group is the more likely they will be licensed – why loose an account or client over not being licensed?
Hope this helps – good luck and lets keep in touch.
- Richard
Richard Wilson
Hedge Fund Group (HFG)
http://ThirdPartyMarketing.com
Tags: hedge fund marketing license, fund marketing licenses and requirements, hedge fund marketing licensing regulations
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