I am forming a LLC to invest in real estate and stock market ( long term investment via a online brokerage firm ), also provide investment advice to clients in the capacity of a financial planner. The money ( at least for the first year ) will be coming from my own pocket. My question is, other than standard registration process for every new LLC, do I need to register with other authorities like SEC?

Off the cuff, I would think you with need to become a Register Investment Advisor and/or obtain a series 6 license for securities. Not my area of expertise, so you should speak with the SEC and other brokers.

thanks for the quick response.
Forgive me because I am to new the business world, but just curious to know why I can trade stocks on my own without a license, but if I put it under an umbrella of an LLC, I need licensing.

thanks again

Its not putting it under the umbrella its when you have others investing there money with you in this LLC. If you are going to put 100k of your own money in a LLC to trade stocks have at it but the moment have others give you money to invest you have to get registered.

I am also not an expert but that is how I understand it

I agree with Shaun's comment. If you trade for other people, licensing is an issue.

Since for the first year I am going to use my own money, can I set up the company first and start investing without the license? Of course I will register down the line when other people's money is on the line.