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How to registered as SEBI Investment Advisor -Complete Process

Sebi Registered Investment Advisor Registration Consultant

How to become registered investment advisor

Step by step process to get register as registered investment advisor

We have updated this information with Sebi (Investment Advisors) (Amendment) Regulations, 2021

It's not an easy step to get registration from SEBI as Investment Advisor

This is a detailed step by step guide to the SEBI Registered Investment advisor Application Process under SEBI(Investment Advisers) (Amendment) Regulations, 2020.  It will help anyone with the necessary qualifications (see below) to apply for the SEBI Investment Advisor certification.  We are a firm of Chartered Accountants, so if you are looking to register as an investment advisor as an Individual or Private limited company get any help on the registration process with our CA - call  on 9729953675


Eligibility for registration as Investment Advisor  in India

The following minimum qualifications are required to become an Investment advisor in India.

As per Regulation 7 of the Investment Advisor Act 2014

  1. A professional qualification or postgraduate degree or postgraduate diploma in finance, accountancy, business management, commerce, economics, capital market, banking, insurance or actuarial science.
    or You have at least five years in activities relating to advice in financial products or securities or fund or asset or portfolio management.
  2. NISM Certificate (Investment Advisor Nism Level 1 )
  3. NISM Certificate (Investment Advisor Nism Level 2 )

In simple words, Having 5 years’ experience in the financial sector can pass the following examination by the National Institute of Securities Markets (NISM) and apply to SEBI for registration as an Investment Advisor. From Oct 2020 ( 5 Years Experience is compulsory to register as an Investment advisor)

Documents required

  1. Proof of Identity
  2. Proof of address
  3. Proof of qualification (Degree certificates, NISM exam certificates )
  4. Experience Certificate in case of graduates (e.g. Insurance agency license, MF ARN card, etc.)
  5. CIBIL Score
  6. Net worth certificate from a Chartered Accountant (Minimum net worth requirement is rupees five lakh for individuals or partnership firm.)
  7. Income Tax Returns for the last 3 years
  8. Various declarations.


Investment Advisor Registration process 

The registration process is completely online.
1. Getting access to the SEBI Intermediary portal by paying the initial registration fee of ₹2000. ( Earlier it was ₹5000)
2. Filling the Investment advisor registration form on SEBI intermediary portal and uploading relevant documents.
3. Paying a registration fee of ₹3,000 after the application is approved by SEBI.

4. Good News for Company Registration- Amendment Application Fees ₹10,000/- ( Earlier it Was ₹ 50,000) and registration fees ₹ 15,000 ( Earlier it was ₹ 5,00,000/- )

After Registration on SEBI Portal, This opens Investment Advisor form A. There are 7 sections in the application form as mentioned below.


Section 1. General Information

General Information consists of name, Registered office address, Contact details of the Registered Person, and other details.

In addition to this, you have to write about your present and past activities majorly related to investment and personal finance.


Section 2. Details of applicant

In this section, you have to upload self-certified copies of identity proof, address proof, supporting documents in respect of qualification. NISM Investment advisor XA and NISM Investment advisor XB exam certificates, 3 years Income tax return, and a copy of a net worth certificate from a chartered accountant.


Section 3. Details of Investment Advisory Services ( Business Plan )

This is the main section regarding the Investment advisor registration application and here you need to upload a proper Business Plan, Risk Policy management system and other relevant necessary information. Call us to get all the relevant Documents.


Section 4. Details of infrastructure

In this section, you have to upload a complete list of infrastructure you have one by one and attach all the necessary proof you have for infrastructure. Also need to upload a declaration regarding infrastructure.


Section 5.Execution Services

Independent applicants have to upload a declaration that they will not carry out any distribution and execution services post-grant of registration of investment adviser by SEBI. 


Section 6. Other Questions/ Information/ Declarations

In this section, As discussed above, there are lots of declaration required in process of registration as a Investment advisor. In this section, you have to upload all the other necessary information and declarations.


Section 7. Fees Details

Fees Details will be shown in FORM A automatically.


After filing Form A online, you will get FORM A in your mail id and we need to send this FORM A along will all the necessary documents and information to the nearest SEBI office.


If you want to know how to register as a research analyst ??  check our official webpage.

SEBI Application Process Filling

logon To sip Portal

Contact and address details

logon To sip Portal

SIP Portal Login

Login to SIP Portal SEBI And than Click on Self Registration

Next Screen

Contact and address details

logon To sip Portal

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  1. Role Required - Investment Advisor
  2. Legal Structure Of the Applicant- Individual
  3. Name as per Pan Card

Contact and address details

Contact and address details

Contact and address details

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Contact Details And Address Details Need to fill out after that Rs 2000/- Payment for Individual Registration. Within 1 Week You will get Login Credentials 

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Investment Advisor Regulation

With Ammendments

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