| Aspect | Part Time Registered Principal | Part Time Financial Advisor |
|---|
| Credentials | Must hold a Series 24 and Series 7 license, and be registered with FINRA | Typically holds Series 7 and 66 licenses, with required state registrations |
| Work Environment | Oversees broker-dealer activities, compliance, and supervision | Provides financial planning and investment advice to clients |
| Employer & Industry | Broker-dealer firms, securities industry |
The Part Time Registered Principal primarily supervises and oversees broker activities, ensuring compliance with regulations, while the Part Time Financial Advisor focuses on advising clients and managing investments. Both roles require similar licenses but differ in responsibilities and daily tasks within the financial services industry.