Frequently Asked Question
What financial certifications or exams do I need to complete in order to qualify for registration as an Investment Advisor Representative?
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:
The NASAA provides a summary of exemptions for each state jurisdiction here.
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:
- Chartered Investment Councelor (CIC)
- Certified Financial Planner (CFP)
- Chartered Financial Consultant (ChFC)
- Chartered Financial Analyst (CFA)
- Personal Financial Specialist (PFC)
The NASAA provides a summary of exemptions for each state jurisdiction here.
by
Shauna Carther
Shauna Carther was the vice president of content at Investopedia.com. In 2007, she appeared as a guest on Moneytrack, a Public Broadcasting Service program devoted to helping consumers learn to invest and take control of their finances.
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