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Requires completion of Series 65 within two years, or Series 66 plus FINRA Series 7 within two years, and the Securities Industry Essential Examination within four years, unless covered by specified subsections. Provides alternatives by acceptable professional designations, addresses changes in FINRA series numbers, prior score validity, and waiver of examination requirements on a case-by-case written request.",{"@graph":69,"@context":122},[70,84,105],{"@type":71,"itemListElement":72},"BreadcrumbList",[73,77,79,82],{"item":74,"name":75,"@type":76,"position":8},"https://docshare.wps.com","Home","ListItem",{"item":78,"name":9,"@type":76,"position":14},"https://docshare.wps.com/document/",{"item":80,"name":20,"@type":76,"position":81},"https://docshare.wps.com/document/exam/",3,{"item":83,"name":65,"@type":76,"position":19},"https://docshare.wps.com/document/660-11-7-13-examination-requirements-for-investment-adviser-representatives/390093/",{"url":83,"name":65,"@type":85,"image":86,"author":91,"headline":65,"publisher":94,"fileFormat":97,"inLanguage":63,"description":67,"dateModified":98,"datePublished":99,"encodingFormat":97,"isAccessibleForFree":100,"interactionStatistic":101},"DigitalDocument",{"url":87,"@type":88,"width":89,"height":90},"https://docshare.wps.com/thumbnails/660-11-7-13-examination-requirements-for-investment-adviser-representatives/390093.png","ImageObject",300,407,{"name":92,"@type":93},"4398046744996","Person",{"url":74,"name":95,"@type":96},"DocShare","Organization","application/pdf","2026-10-29","2026-09-25",true,{"@type":102,"interactionType":103,"userInteractionCount":44},"InteractionCounter",{"@type":104},"ViewAction",{"@type":106,"mainEntity":107},"FAQPage",[108,114,118],{"name":109,"@type":110,"acceptedAnswer":111},"What examinations are generally required for registration as an investment adviser representative?","Question",{"text":112,"@type":113},"Applicants must pass Series 65 within two years of the application date, or Series 66 plus FINRA Series 7 within two years, and the Securities Industry Essentials examination within four years, unless an exception applies.","Answer",{"name":115,"@type":110,"acceptedAnswer":116},"When can the examination requirement be waived using professional designations?",{"text":117,"@type":113},"Compliance is waived if the applicant has current, good-standing designations such as CFP, ChFC/MSFS, CFA, PFS, or CIC, or other credentials on the NASAA 65 Equivalency List.",{"name":119,"@type":110,"acceptedAnswer":120},"How do prior examination scores and past registration affect retaking exams?",{"text":121,"@type":113},"Certain prior scores may not qualify if they predate an initial application beyond the stated limit, and individuals registered in a state within two years are generally not required to retake exams; participation in FINRA Maintaining Qualifications can also avoid retaking under specific conditions.","https://schema.org",{"og:url":83,"og:type":124,"og:title":65,"og:site_name":95,"og:description":67},"article",{"robots":126,"canonical":83},"index,follow",{"doc_id":128,"site_id":62},390093,1790811471,{"code":4,"msg":5,"data":131},{"doc_id":128,"user_id":132,"nickname":92,"user_avatar":66,"doc_module":4,"category_id":19,"category_name":20,"doc_title":65,"doc_description":67,"doc_content":133,"file_id":134,"file_url":135,"file_type":136,"file_size":137,"view_count":44,"is_deleted":4,"is_public":8,"is_downloadable":8,"audit_status":8,"page_count":14,"language":138,"language_code":63,"site_id":62,"html_lang":63,"table_of_contents":139,"faqs":140,"seo_title":141,"seo_description":67,"update_tm":142,"read_time":24,"preview_page_count":4},4398046744996,"660:11-7-13. ~~Qualification examination~~Examination requirements for investment adviser representatives  \n(a) Examination requirement. Proof of compliance with the written examination requirements of this Section is prerequisite to a complete filing for registration under the Securities Act.  \n(b) Examinations. ~~Any natural person seeking registration as an investment adviser or investment adviser representative must pass the Series 65 or the Securities Industry Essentials (SIE) examination, Series 66, and Series 7. The Administrator adopts the examinations as administered by FINRA as the required examinations~~.Every natural person seeking registration as an investment adviser or investment adviser representative shall, unless covered by subsection  \n(c) or (e) or otherwise waived by the Administrator, have passed:  \n(1) the Series 65/Uniform Investment Adviser Law Examination (Series 65) within two years of the date of application; or  \n(2) the Series 66/Uniform Combined State Law Examination (Series 66) and the FINRA Series 7/General Securities Representative Examination within two years of the date of application, and  \n(3) the Securities Industry Essential Examination within four years of the date of application.  \n(c) Designations acceptable in lieu of examinations. Compliance with the examination requirements is waived if the applicant has been awarded any of the following designations and at the time of filing an application is current and in good standing:  \n(1) Certified Financial Planner (“CFP”) awarded by the Certified Financial Planners Board of Standards;  \n(2) Chartered Financial Consultant (“ChFC”) or Masters of Science and Financial Services  \n(“MSFS”) awarded by the American College, Bryn Mawr, Pennsylvania;  \n(3) Chartered Financial Analyst (“CFA”) awarded by the Institute of Chartered Financial Analysts;  \n(4) Personal Financial Specialist (“PFS”) awarded by the American Institute of Certified Public Accountants;  \n(5) Chartered Investment Counselor (“CIC”) awarded by the Investment Adviser Association; or  \n(6) Any further certificates or credentials that are placed on the NASAA 65 Equivalency List,  \nas maintained and updated by NASAA and the NASAA Exams Advisory Committee.~~(c)~~(d) Change in series number. Should FINRA examination series numbers change, the most current examination series applicable to the category of registration shall apply.  \n~~(d)~~(e) Validity of prior examination scores.  \n~~(1) The Department will not recognize for purposes of qualification for registration under the Securities Act any FINRA examination score(s) that predates an initial application for registration by more than two (2) years in the absence of registration as an investment adviser representative, an investment adviser, agent, principal or broker-dealer since examination~~.  \n~~(2) The Department will not recognize for purposes of qualification for registration under the Securities Act the examination score(s) of any person whose most recent registration as an investment adviser, investment adviser representative, agent, principal or broker-dealer has been terminated for a period of two (2) years immediately preceding the date of receipt by the Department of a new application for registration under the Securities Act~~.  \n(1) Any individual who has been registered as an investment adviser representative in any state within two years from the date of filing an application for registration shall not be required to retake the examinations to be eligible for registration.  \n(2) Any individual who is not registered as an investment adviser representative in any state for more than two years but less than five years, who has elected to participate in the FINRA Maintaining Qualifications Program pursuant to FINRA Rule 1240(c), and whose appropriate FINRA qualifying examinations remain valid pursuant to effective participation in the FINRA Maintaining Qualifications Program shall not have to retake the appropriate FINRA","cbCaiebOC3KaStBX","https://ap.wps.com/l/cbCaiebOC3KaStBX","pdf",82972,"English","# Examination requirements\n## Examination requirement and required exams\n## Designations acceptable in lieu of examinations\n## Change in series number and validity of prior scores\n## Exemptions and waiver of examination requirement","[{\"question\":\"What examinations are generally required for registration as an investment adviser representative?\",\"answer\":\"Applicants must pass Series 65 within two years of the application date, or Series 66 plus FINRA Series 7 within two years, and the Securities Industry Essentials examination within four years, unless an exception applies.\"},{\"question\":\"When can the examination requirement be waived using professional designations?\",\"answer\":\"Compliance is waived if the applicant has current, good-standing designations such as CFP, ChFC/MSFS, CFA, PFS, or CIC, or other credentials on the NASAA 65 Equivalency List.\"},{\"question\":\"How do prior examination scores and past registration affect retaking exams?\",\"answer\":\"Certain prior scores may not qualify if they predate an initial application beyond the stated limit, and individuals registered in a state within two years are generally not required to retake exams; participation in FINRA Maintaining Qualifications can also avoid retaking under specific conditions.\"}]","660 - 11-7-13 - Examination requirements for investment adviser representatives | PDF",1790329778]