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Investment Advisor Registration SEBI – Process, Fees & Eligibility 2026

How to Become SEBI Registered Investment Advisor (RIA): A Step-by-Step Guide

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Complete Guide Under Latest SEBI Regulations

Complete Guide Under Latest SEBI Regulations

If you are planning to start investment advisor registration SEBI, understanding the SEBI registration process is essential. This comprehensive guide by Taxation Consultance explains how to become SEBI registered investment advisor under the latest SEBI regulations. It covers eligibility criteria, NISM certification requirements, documentation, and the complete procedure for obtaining registered investment advisor SEBI approval. Whether you aim to become a SEBI registered advisory firm or an individual advisor, this step-by-step guide simplifies the entire journey toward SEBI compliance.

Step by Step process to Become SEBI Registered Investment Advisor ( RIA )

Becoming a SEBI Registered Investment Advisor (RIA) is one of the most trusted and lucrative career options in the financial industry. For professionals planning investment advisor registration SEBI, it is important to understand the SEBI registration process and regulatory framework. This guide explains how to become SEBI registered investment advisor, including eligibility criteria, NISM certification, documentation, and compliance requirements. Whether you aim to operate as a registered investment advisor SEBI or build a compliant SEBI registered advisory, this overview helps you take the right steps toward successful registration.

Proveb Expertise of Taxation Consultancy

At Taxation Consultancy, we have assisted 500+ professionals and companies across India with investment advisor registration SEBI and the complete SEBI registration process. Our expertise includes helping individuals and firms how to become SEBI registered investment advisor, supporting registered investment advisor SEBI approvals, and building compliant SEBI registered advisory structures. We also provide end-to-end support for Research Analyst registration and SEBI audits, ensuring accuracy, compliance, and hassle-free approvals.

Keep exploring to build a compliant, trusted, and high-income career.

Taxation Consultancy India’s Most Trusted SEBI Matter Experts

Understanding the Need for SEBI Registration

In today’s financial landscape, unregistered advisory services have resulted in numerous scams and investor losses. To protect investors, the Securities and Exchange Board of India (SEBI) has made investment advisor registration SEBI mandatory for professionals offering investment advice or stock market research. Understanding the SEBI registration process is essential for anyone learning how to become SEBI registered investment advisor. Obtaining approval as a registered investment advisor SEBI not only ensures legal compliance but also helps build trust as a credible SEBI registered advisory in the Indian financial market.

SEBI registration

SEBI registration

The SEBI registration process ensures that only qualified, ethical, and compliant individuals or entities can provide financial advice — protecting investors while enhancing credibility for registered advisors.

Investor Protection

Investor Protection

In today’s financial landscape, unregistered advisory services have led to countless scams and investor losses.

Building a Trusted Practice

Building a Trusted Practice

Whether you’re a finance graduate, a working professional, or a trader planning to expand into advisory services, learning how to become SEBI registered investment advisor is the first step to establishing a legitimate, trusted practice in India

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Step into a legal finance career by becoming SEBI registered. Build a trusted, compliant, and high-income career as a Research Analyst.

SEBI Registered Investment Advisor Eligibility

Before you start your registration process, you must meet the SEBI registered investment advisor eligibility criteria set by SEBI.

The SEBI Research Analyst Regulations were introduced to protect investors from unverified and misleading stock recommendations. By becoming a SEBI Registered Research Analyst, you gain:

For Individuals:

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A graduate degree (any stream: commerce, science, arts, or engineering).

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NISM Series XA & XB (Investment Adviser Level 1 and 2) certification.

For Companies / LLPs:

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Must employ at least One qualified individual with the above certifications.

If you don’t meet all requirements, don’t worry — our experts guide you through bridging eligibility gaps, NISM exam prep, and documentation readiness.

Why SEBI
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The SEBI registration process ensures that only qualified, ethical, and compliant individuals or entities can provide financial advice — protecting investors while enhancing credibility for registered advisors. Whether you’re a finance graduate, a working professional, or a trader planning to expand into advisory services, learning how to become SEBI registered investment advisor is the first step to establishing a legitimate

Investment Advisor Registration SEBI Process

The SEBI registration process has recently become more streamlined. Let’s break it down step-by-step so you know exactly how to become SEBI registered investment advisor with ease.

1

Prepare the Required Documents

Collect the following documents before applying: For Individual SEBI Registration:

  • PAN Card
  • Aadhaar Card
  • GST Certificate (or declaration provided by us if not available)
  • Address Proof:
  • Owned property: ownership document or electricity bill
  • Rented property: rent agreement + NOC + electricity bill
  • Home-based registration possible (we assist)
  • ANY graduate (in any discipline) is now eligible to apply to become an IA or RA
  • All mandatory declarations – Internal Policies, Standard Disclosures (we draft these)
  • Bank statement and infrastructure documents
  • Business Plan (most common reason for rejection — we assist fully)
  • -- For Company SEBI Registration:
  • Company PAN Card
  • Aadhaar & PAN of Directors and Shareholders
  • GST Certificate (or NOC)
  • •ANY grad

Documents Required for SEBI Registration

To help you prepare, here’s a checklist of documents required for both individuals and entities:

For Individual Registration

  • PAN & Aadhaar Card
  • NISM Series XA & XB Certificates
  • Graduation Certificate
  • Address Proof (Rent Agreement or Electricity Bill)
  • Compliance Manual and Business Plan
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For Company / LLP Registration

  • Company PAN & GST Certificate
  • Certificate of Incorporation & MOA
  • Director’s PAN, Aadhaar & NISM Certificates
  • Shareholding pattern
  • Internal Policies & Standard Disclosures

Key Benefits of Becoming a SEBI Registered Investment Advisor

Many professionals misunderstand the risk of operating without registration. Let's clarify:

Legitimacy & Trust

  • Build credibility with clients through verified SEBI registration.

Higher Earning Potential

  • Offer structured, fee-based advisory services.

Compliance Protection

  • Avoid legal risks by operating within SEBI guidelines.

Access to New Opportunities

  • Partner with financial institutions, PMS firms, and fintech platforms.

Documents Required for SEBI Registration

To help you prepare, here’s a checklist of documents required for both individuals and entities:

For Individual Registration

PAN & Aadhaar Card

NISM Series XA & XB Certificates

Graduation Certificate

Address Proof (Rent Agreement or Electricity Bill)

Our team prepares and formats every document as per BSE and SEBI requirements, reducing rejection risks and ensuring smooth approval.

Compliance Manual and Business Plan

For Company / LLP Registration

Company PAN & GST Certificate

Certificate of Incorporation & MOA

Director’s PAN, Aadhaar & NISM Certificates

Shareholding pattern

Internal Policies & Standard Disclosures

Business Plan and Type of Products/Services you wish to offer

If this seems overwhelming, our consultants at Taxation Consultancy handle everything — ensuring your documents meet SEBI’s compliance checklist perfectly.

Why Choose Taxation Consultancy for Sebi Registered Advisory Process

When it comes to SEBI research analyst registration or investment advisor registration, experience matters. Here’s why over 500+ clients across India trust Taxation Consultancy:

Why Choose Taxation Consultancy for Sebi Registered Advisory Process

Our services include:

9+ years of expertise in SEBI registration and audits

500+ successful SEBI applications completed

Assistance with Research Analyst, registered investment advisor sebi, and PMS registration

Dedicated post-registration SEBI audit and compliance support

Expert drafting of Business Plan, Internal Policies, and Disclosures

Direct consultation with our SEBI specialists over call or WhatsApp

We make your SEBI journey simple, transparent, and successful — from start to finish.

What Our Clients Say

Hear from our satisfied clients and their success stories

SHASHANK UDUPA

I applied for my SEBI Research Analyst license without knowing where to start, as the process is lengthy and compliance-heavy. Taxation Consultancy guided me at every step, from application to approval, with exceptional support—even on weekends. They patiently answered all my queries, helped with follow-ups, and continue to assist me with post-registration compliances, especially for my YouTube content. Their end-to-end guidance made the entire journey smooth and stress-free. I highly recommend them to anyone planning to become a SEBI-registered Research Analyst.

SHASHANK UDUPA

SHASHANK UDUPA

TEAM VAYU CAPITAL,STOCK MARKET EDUCATOR AT THE ONE PERCENT CLUB

SIDDHARTH BHANUSHALI

After clearing our exam, we were looking to obtain a corporate license and soon realized how lengthy and complex the process was. Taxation Consultancy supported us at every step — from pre-registration to post-registration compliances. Even after receiving the license ID, their team guided us through the remaining formalities required to obtain the final certificate. The entire experience was smooth and well-structured. For anyone seeking SEBI registration, whether individual or non-individual, Taxation Consultancy is a reliable and experienced choice.

SIDDHARTH BHANUSHALI

SIDDHARTH BHANUSHALI

DIRECTOR OF SIDDHARTH BHANUSALI ADVISORY PRIVATE LIMITED

Utkarsh Bhadauria

Excellent knowledge and very professional service. The team has clear answers to every query and provides complete handholding throughout the process. Calm, supportive, and timely in execution. Truly reliable guidance—thank you, Taxation Consultancy.

Utkarsh Bhadauria

Utkarsh Bhadauria

Partner of Ebullient Consultancy LLP

MANISH AHUJA

Taxation Consultancy provides comprehensive SEBI registration and compliance services. Their team assisted us with end-to-end SEBI Research Analyst registration, including documentation, BSE coordination, SEBI filings, and timely follow-ups. Post-registration compliances such as periodic reporting, disclosures, and regulatory guidance were handled efficiently. Their structured process, regulatory expertise, and prompt support make them a dependable partner for SEBI registrations and ongoing compliance management for both individual and non-individual entities.

MANISH AHUJA

MANISH AHUJA

DIRECTOR OF INTELLIRECOMMEND RESEARCH PRIVATE LTD

RAJAN MALHOTRA

StockBox Technology Pvt. Ltd. engaged Taxation Consultancy for SEBI-related advisory and compliance support. Their team demonstrated strong regulatory expertise, ensured smooth coordination with exchanges, and handled documentation and filings with precision. The structured approach, timely updates, and continued post-registration compliance assistance made the entire process efficient and reliable. Taxation Consultancy stands out as a dependable partner for SEBI registrations and ongoing regulatory compliance.

RAJAN MALHOTRA

RAJAN MALHOTRA

DRIRECTOR OF MEHAK WEALTH INVESTMENT ADVISORS PVT LTD

SANIKA KARNIK

When SEBI’s action on influencers created uncertainty, I was unsure about my future. After multiple failed attempts in 2022, I finally connected with Taxation Consultancy. Their team handled everything with clarity and patience, making the entire SEBI registration process smooth and stress-free. Even post-registration compliances, which are often overlooked, are managed with continuous guidance. Getting associated with Taxation Consultancy was truly one of the best decisions I made.

SANIKA KARNIK

SANIKA KARNIK

DIRECTOR / RANGAONE FINWALA PRIVATE LIMITED

Frequently Asked Questions

Typically, investment advisor registration SEBI takes 30–45 working days, depending on document readiness, application accuracy, and SEBI’s review timelines.

Get Started Today

If you’re planning to become a Sebi Registered Advisory, or need help with SEBI research analyst registration or SEBI audit, Taxation Consultancy is your one-stop solution.

Start your registration today — let professionals manage your compliance, so you can focus on growing your advisory business.

Final Note:

If you’re planning to become a Sebi Registered Advisory, or need help with SEBI research analyst registration or SEBI audit, Taxation Consultancy is your one-stop solution.

Start your registration today — let professionals manage your compliance, so you can focus on growing your advisory business.