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.





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