What financial certifications or exams do I need to complete in order to qualify for registration as an Investment Advisor Representative?

By Shauna Carther AAA
A:

In general, most states require the successful completion of the Series 65 exam or both the Series 7 and Series 66 exams.

However, if a financial professional has not completed the above exams, some states will allow that person to register as an Investment Advisor Representative if he or she has obtained any of the following certifications:




Also, if a finance professional is registered as a broker-dealer or agent there may be exam exemptions available.

The NASAA provides a summary of exemptions for each state jurisdiction here.



RELATED FAQS

  1. Where can I look for a financial planner?

    References from trusted friends or family members can help you find a financial planner; however, keep in mind that your ...
  2. If I am looking to get an Investment Banking job. What education do employers prefer? ...

    If you are looking specifically for an investment banking position, an MBA may be marginally preferable over the CFA. The ...
  3. Can I still pass the CFA Level I if I do poorly in the ethics section?

    You may still pass the Chartered Financial Analysis (CFA) Level I even if you fare poorly in the ethics section, but don't ...
  4. A sales representative is permitted to take all of the following actions EXCEPT:

    A sales representative is permitted to take all of the following actions EXCEPT: a. Offer investment advice to clientsb. ...
RELATED TERMS
  1. Corruption

    Dishonest behavior by those in positions of power, such as managers ...
  2. Body Of Knowledge - BOK

    The core teachings, skills and research in a field or industry. ...
  3. Credit Business Fellow - CBF

    A designation for achievers who have proven knowledge in intermediate ...
  4. Credit Business Associate - CBA

    A designation awarded to those who show mastery in financial ...
  5. Series 79

    A examination to ensure a candidate is qualified to become a ...
  6. Research Analyst

    A person who prepares investigative reports on equity securities. ...
comments powered by Disqus
Related Articles
  1. Introduction To Financial Planning Organizations
    Personal Finance

    Introduction To Financial Planning Organizations

  2. Municipal Bond Tips For The Series 7 ...
    Insurance

    Municipal Bond Tips For The Series 7 ...

  3. 6 Proven Tips For Series 6 Success
    Retirement

    6 Proven Tips For Series 6 Success

  4. Financial Planners: Specialize In Seniors
    Retirement

    Financial Planners: Specialize In Seniors

  5. A Guide To Financial Designations
    Personal Finance

    A Guide To Financial Designations

Trading Center