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. Do real estate agents need a degree?

    Earning a degree is required by many real estate brokerages, as well as by some state's real estate boards. Getting a degree ...
  2. 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 ...
  3. 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 ...
  4. 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 ...
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. Become A Certified Financial Divorce ...
    Retirement

    Become A Certified Financial Divorce ...

  2. Top 6 Ways To Recession-Proof Your Job
    Personal Finance

    Top 6 Ways To Recession-Proof Your Job

  3. The Income Property: Your Late-In-Life ...
    Home & Auto

    The Income Property: Your Late-In-Life ...

  4. Accredited Financial Counselor: An Introduction
    Professionals

    Accredited Financial Counselor: An Introduction

  5. How To Improve Your Leadership Skills
    Personal Finance

    How To Improve Your Leadership Skills

Trading Center