Occupational license information for Investment Advisor Representative in US | CareerOneStop

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Investment Advisor Representative
License Description	An investment adviser representative is employed by or associated with an investment adviser (company) and makes recommendations or otherwise renders advice regarding securities. They solicit investment advisory services, negotiate for the sale of or sell investment advisory services and may also supervise employees who perform any of these functions.
Licensing Agency	Iowa Department of Commerce Division of Insurance 601 Locust Street Des Moines, IA 50309-3738 (515) 242 5313 larry.ellison@iid.iowa.gov https://iid.iowa.gov/securities-agent-license-information
Active Status	Active
Certification	Certification required
Continuing Education	Continuing education required to maintain license
Criminal Record	No criminal record prohibitions
Education	Specific course required
Exam	Both state and third-party exams required
License Type	Tied to business
License Updated	06/30/2021

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Occupational license information is from the Analyst Resource Center (ARC).

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