I'm interested in starting a 3rd party marketing firm or capital introduction firm. I have an investment management firm that is interested in hiring my services due to my access to high net worth accounts. I do not have any regulatory licenses and want to know if they are legally necessary or required by state or federal law or by the sec? I strictly want to engage in discussing the firms investment strategy and probe or interest before handing off to the investment firm. Any help or guidance on this issue would be greatly appreciated and ultimately lead to more questions. Thanks

Have you browsed through the information in LawInfo's Free Legal Resource Center to learn more about your issue yet? See: http://www.lawinfo.com/consumer.html and http://resources.lawinfo.com/en/index.html. You can certainly try to speak to a lawyer to determine what legal options may be available. In the meantime, you may be able to learn more on your own. Search the "Free Legal Resources" tab, or browse the Consumer Resources. Good luck.

I did browse as you recommended but was unable to find anything of relevance. Thanks