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INVESTMENT ADVISOR REPRESENTATIVE
License Description INVESTMENT ADVISER REPRESENTATIVE

Any partner, officer, or director of (or person occupying a similar status or performing similar functions) an investment adviser, or other individual, except clerical or ministerial personnel, who is employed by or associated with an investment adviser.

REQUIREMENTS:
1. A Form U4 and all information and exhibits required by such form;
2. The appropriate application fee as set forth by the Act;
3. Satisfactory evidence of a passing score by the applicant on the appropriate examinations; and
4. Such other information as the Division may request of a particular applicant to determine eligibility for registration.

EXAMINATION REQUIREMENTS:
(a) Each applicant for initial registration as an investment adviser representative:

1. Shall receive a passing grade on the Uniform Investment Adviser Law Examination (UIALE/Series 65) as administered by NASD; or
2. Shall receive passing grades on the General Securities Representative Examination (Series 7) and the Uniform Combined State Law Examination (UCSLE/Series 66) as administered by NASD; or
3. Shall have been registered as an investment adviser representative in any state within the preceding twenty-four (24) months; or
4. Shall currently hold one of the following professional designations:
(i) Certified Financial Planner (CFP) awarded by the Certified Financial Planner Board of Standards, Inc.;
(ii) Chartered Financial Consultant (ChFC) awarded by the American College, Bryn Mawr, PA;
(iii) Personal Financial Specialist (PFS) awarded by the American Institute of Certified Public Accountants;
(iv) Chartered Financial Analyst (CFA) awarded by the Institute of Chartered Financial Analysts;
(v) Chartered Investment Counselor (CIformation and exhibits required by such form; and
2. The appropriate fee as set forth in the Act.
Licensing Agency
Department of Commerce and Insurance
Securities Division
"Davy Crockett Tower, 8th Floor"
500 James Robertson Parkway, Na 000TN-7243
Active Status Active
Certification Certification required
Continuing Education No continuing education requirement to maintain license
Education Specific course required
Exam Third-party exam required
License Type Register with licensing agency
License Updated 09/09/2024

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