When can I register as an Investment Adviser representative if I havent taken the Series 65, or Series 66 in combination with the Series 7?
Passing the Series 65 normally is a pre-requisite to getting licensed as an Investment Adviser representative. However, most states will allow an individual to substitute one of the following certifications for passing the exam: CFP – Certified Financial Planner (granted by the CFP Board of Standards); CIC – Chartered Investment Counselor (granted by the Investment Adviser Association); ChFC – Chartered Financial Consultant (granted by the American College); PFS – Personal Financial Specialist (granted by the American Institute of Certified Public Accountants); and CFA – Chartered Financial Analyst (granted by the Chartered Financial Analyst Institute). The individual applicant still has to go through other state licensing requirements such as a background check and payment of fees. Check with the applicable state securities administrator for details on that states policies. Contact information for all state regulatorsis available on this site. A few states also will allow individuals
Related Questions
- When can I register as an Investment Adviser representative if I havent taken the Series 65, or Series 66 in combination with the Series 7?
- Does a third-party solicitor have to be registered as an investment adviser or investment adviser representative?
- When must an individual investment adviser representative register with a state?
