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Do I need the Series 65 exam if Im just getting referral fees from an investment adviser for clients that I soliciting?

April 26, 2017adviser clients exam fees Investment referral SERIES soliciting

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Do I need the Series 65 exam if Im just getting referral fees from an investment adviser for clients that I soliciting?

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Many states require agents, solicitors, and those receiving referral fees to pass the 65 and register with the appropriate state administrators. Its best to contact the state regulator where you reside and solicit to know the current rules.