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It instructs how to obtain registration information, then evaluate registration status, exam history (Series 6/7/63/65/66), experience, outside business, and disclosure items including criminal, customer, and regulatory 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securities laws require individuals working as brokerdealer agents and investment advisor representatives to be registered.  \nDIVISION OF SECURITIES AND RETAIL FRANCHISING  \nI OVERVIEW  \nSecurities practitioners who register must complete the appropriate application and submit to an extensive background check. Both broker-dealer agents and investment advisor representatives must complete a registration application called the Form U-4.  \nThe U-4 Form contains important information about each registrant such as past work history, years of securities experience, disciplinary history, customer complaints/arbitrations, and bankruptcy filings. Termination information is also available via the Form U-5.  \nWhile much of the information disclosed by the individual and obtained during the background check is available to the public, it is up to the investor to request this information. The registration information can be obtained from the Division by phone at 804- 371-9051 (toll free in Virginia at 800-552-7945) or via a quick web search at [https://www.scc.virginia.gov/RegSearches](https://www.scc.virginia.gov/RegSearches), or by pointing your phone’s camera to the QR code below.  \nOnce the registration information has been obtained, it is important to carefully review the information contained in each registrant’s record prior to selecting an agent or representative to handle your  \nassets.  \nII  \nREVIEWING A REGISTRANT’S RECORD  \nThe registration record will help you answer the following questions.  \n 1.  Is the individual registered to provide investment advice and/or  \noffer and sell securities in Virginia? If they are not, is is unlawful for them to offer or sell securities or provide investment advice in  \nVirginia. Please notify the Division for followup.  \n 2.  What types of registrations does the individual have? AG (Broker-Dealer) , RA (Investment Adviser Representative) , or both.  \n 3.  What exams has the individual passed? Individuals must pass the appropriate exams for the types of services they wish to provide. To determine the registrant’s qualifications refer to exams section of the report to view the types of services your registrant is qualified to provide.  \n Series 6 exam is taken by individuals who wish to sell mutual funds and variable annuities only.  \n Series 7 exam is taken by individuals who wish to sell all types of securities.  \n Series 63 exam is the uniform state securities law exam and is taken by all individuals who wish to be registered as a broker-dealer agent.  \n Series 65 exam is taken by those individuals who wish to be registered as an investment advisor representative.  \n Series 66 exam is a combination of the Series  \n63 and the 65 exams, and is taken by individuals who desire to be registered as both a broker-dealer agent and an investment advisor representative.  \nIII  \nWHAT KIND OF EXPERIENCE DOES THE PERSON YOU SEEK TO CONDUCT BUSINESS WITH HAVE?  \n 1.  What is the registrant’s securities experience?  \nTo determine the registrant’s experience refer to the Employment History and the Registrations Summary sections.  \n Determine how many employers the individual has had during the past 12 to 24 months. (Job hopping may indicate issues.) o  \n Determine how many years of experience the registrant has in the securities industry.  \n What positions did the individual hold with former employers? (e.g., broker, principal)  \n Does the registrant’s work experience meet your expectations?  \n 2.  Is the registrant engaged in other types of businesses?  \nReview Item 13 to see how the question is  \nanswered.  \n If the question is answered yes, then carefully review the types of outside business activities the registrant is engaged in and the amount of time spent pursuing the outside business activity.  \n Would the registrant’s outside activities dissuade you from selecting this person?  \nIV  \nWHAT TYPES AND NUMBE","cbCaibgZo9ibbGlW","https://ap.wps.com/l/cbCaibgZo9ibbGlW","pdf",1749332,12,"English","# Overview\n## Reviewing a registrant’s record\n## Assessing registrations, exams, and experience\n## Evaluating disclosures on the record","[{\"question\":\"What registration application must broker-dealer agents and investment advisor representatives complete?\",\"answer\":\"They must complete the registration application called Form U-4.\"},{\"question\":\"Where can an investor obtain registration information for a specific individual?\",\"answer\":\"Registration information can be requested by phone from the Division or obtained via the Division website or a QR code.\"},{\"question\":\"Which exam types correspond to common registration service needs?\",\"answer\":\"Series 6 relates to selling mutual funds and variable annuities, Series 7 covers all types of securities, Series 63 is the uniform state securities law exam for broker-dealer agents, Series 65 is for investment advisor representatives, and Series 66 combines Series 63 and 65 for both roles.\"}]","HOW TO CHECK A BROKER-DEALER AGENT AND/ OR INVESTMENT ADVISOR REPRESENTATIVE - Review a registrant record | PDF",1790336733]