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. How do I learn technical skills for trading commodities?

    Learn what resources are available to learn about trading commodities, and understand some of the differences between stocks ...
  2. What are the differences between the Series 6 exam and the Series 7 exam?

    Learn about the regulatory exams needed to become a limited or registered representative and the main differences between ...
  3. What licenses and certifications do you need for a career in portfolio management?

    See what it normally takes to begin a career in investment portfolio management, including education, experience, licenses ...
  4. Do I have to successfully complete the Series 7 exam before I can register for the ...

    There are no prerequisites to register for the Series 63 exam. However, once you have registered for the exam, you must schedule ...
RELATED TERMS
  1. Advanced Diploma In Insurance

    A qualification earned by insurance professionals and conferred ...
  2. Associate In Personal Insurance (API)

    A designation earned by professionals looking for training in ...
  3. Associate In Reinsurance (ARe)

    A designation earned by insurance professionals looking for reinsurance ...
  4. Associate In Surplus Lines Insurance (ASLI)

    A designation earned by insurance professionals involved with ...
  5. Corruption

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

    The core teachings, skills and research in a field or industry. ...

You May Also Like

Related Articles
  1. Investing

    What Education Do You Need To Become ...

  2. Professionals

    Top Strategies for Winning Business ...

  3. Professionals

    How to Train Your New Financial Advisor

  4. Investing Basics

    Want A Career In Asset Management? Read ...

  5. Professionals

    Should You Add A Securities License ...

Trading Center